DFX Intelligence
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Registered advisor
T•••• N••• S••••••
Feed of 09/14/2026
Also filed as T•••• S••••••••• N••• S••••••••• N••• S••••••••• S••••••
At current firm
1 y
since Nov 14, 2024
In the industry
14 y
since Aug 1, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Swansea, Il
- P•••• S••••••••• L•• no RAUMApr 14, 2023 to Nov 14, 2024 · Swansea, Il
- C•••••• S••••• • C••• I••• national BDOct 4, 2022 to Mar 27, 2023 · East Alton, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 21, 2018 to Mar 20, 2020 · St Louis, Mo
- T• A••••••••• I••• formerNov 21, 2018 to Oct 14, 2022 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to P•••• S••••••••• L••left Mar 27, 2023, registered Apr 14, 2023 (18 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 4, 2022 (-10 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 20, 2020, registered Nov 21, 2018 (-485 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedMar 27, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address