DFX Intelligence
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Registered advisor
B•••••• A•••••••
Feed of 09/14/2026
Also filed as B•••••• P•••••• A••••••••• A•••••••
At current firm
1 y
since Jan 30, 2025
In the industry
13 y
since Aug 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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jan 30, 2025 · Peoria, Il
- C•••••• S••••• • C••• I••• national BDSep 30, 2022 to Feb 22, 2023 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 2, 2020 to Feb 22, 2021 · St. Louis, Mo
- T• A••••••••• I••• formerJan 2, 2020 to Oct 14, 2022 · St. Louis, Mo
- E••••• J•••• national BDJun 29, 2018 to Sep 18, 2018 · Peoria, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Feb 22, 2023, registered Jan 30, 2025 (708 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Sep 30, 2022 (-14 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 22, 2021, registered Jan 2, 2020 (-417 days) · corporate re-registration, not a move
- E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 18, 2018, registered Jan 2, 2020 (471 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedFeb 22, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address