DFX Intelligence
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Feed of 09/14/2026
Also filed as S•••••••• K••••••••• M•••• F••••
At current firm
4 y
since May 18, 2022
In the industry
11 y
since Mar 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C••• L•• BD affiliated currentsince May 18, 2022 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• formerNov 20, 2019 to Apr 11, 2022 · La Vista, Ne
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to C••• L••left Apr 11, 2022, registered May 18, 2022 (37 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedApr 11, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address