DFX Intelligence
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Registered advisor
P••• S••••••••
Feed of 09/15/2026
Also filed as P••• D•••• S••••••••• D•••• S••••••••
At current firm
1 y
since Nov 14, 2024
In the industry
13 y
since Jul 26, 2013 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Ankeny, Ia
- P•••• S••••••••• L•• no RAUMSep 20, 2019 to Nov 14, 2024 · Omaha, Ne
- E•••••••• A•••••••• L•• national BDJun 2, 2017 to Aug 13, 2019 · West Des Moines, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 6, 2017 · West Des Moines, Ia
- M•• F•••••••• S•••••••• I••• formerFeb 17, 2016 to Mar 25, 2017 · West Des Moines, Ia
- E••••• J•••• national BDSep 23, 2013 to Nov 3, 2015 · Ankeny, Ia
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Aug 13, 2019, registered Sep 20, 2019 (38 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Jun 6, 2017, registered Jun 2, 2017 (-4 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E••••• J•••• to M•• F•••••••• S•••••••• I•••left Nov 3, 2015, registered Feb 17, 2016 (106 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address