DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• M•••••• B••••
Feed of 09/14/2026
At current firm
10 y
since Aug 29, 2016
In the industry
12 y
since Feb 17, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 29, 2016 · St. Louis, Mo
- P•• W••••• M••••••••• BD affiliatedJun 16, 2015 to Jun 2, 2016 · Clayton, Mo
- E••••• J•••• national BDMar 27, 2014 to Apr 22, 2015 · Windsor Heights, Ia
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 2, 2016, registered Aug 29, 2016 (88 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Apr 22, 2015, registered Jun 16, 2015 (55 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address