DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as L••••• S•••••••••
At current firm
3 y
since Jan 2, 2023
In the industry
12 y
since May 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- O••••••••• institutional currentsince Jan 2, 2023 · Overland Park, Ks
- I••••••••• F•••••••• P••••••• BD affiliatedApr 24, 2017 to Feb 1, 2023 · St Augustine, Fl
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• P••••••• to O•••••••••left Feb 1, 2023, registered Jan 2, 2023 (-30 days) · Other · moved with a team
Signals
- L••••• L•• S••••••••• left I••••••••• F•••••••• P••••••• for Onedigital (registered 2023-01-02)Feb 1, 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
- Institutional managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address