DFX Intelligence
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Registered advisor
S•••••• C• S••••
Feed of 09/14/2026
Also filed as S•••••• C• S••••••••• C•••• S••••••••• C• A••••••••• C•••• A••••••••• A••••• S••••••••• G• A••••••••• G••••••• A•••••
At current firm
2 y
since Mar 14, 2024
In the industry
12 y
since Nov 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 14, 2024 · Springfield, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 19, 2023 to Jul 6, 2023 · Springfield, Mo
- M••••• S•••••• wirehouseAug 18, 2021 to Feb 23, 2023 · Springfield, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 31, 2020 to Aug 3, 2021 · Springfield, Mo
- O• I••••••••• M••••••••• C• BD affiliatedAug 28, 2014 to May 5, 2016 · Springfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 6, 2023, registered Mar 14, 2024 (252 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to M•• I•••••••• S•••••••• L••left Feb 23, 2023, registered Apr 19, 2023 (55 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to M••••• S••••••left Aug 3, 2021, registered Aug 18, 2021 (15 days) · Affiliated broker-dealer or bank to wirehouse
- O• I••••••••• M••••••••• C• to M•• I•••••••• S•••••••• L••left May 5, 2016, registered Jul 31, 2020 (1548 days) · Other
Signals
- ••• LockedJul 6, 2023 · Advisor changed firm · fact
- ••• LockedFeb 23, 2023 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address