DFX Intelligence
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Feed of 09/14/2026
Also filed as R••••• C••• J••••••
At current firm
2 y
since Oct 10, 2023
In the industry
10 y
since Nov 1, 2015 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Oct 10, 2023 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2023 to Sep 1, 2023 · Omaha, Ne
- R••••• J•••••• F•••••••• unclassifiedSep 22, 2021 to Dec 31, 2022 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 25, 2017 to Jan 6, 2021 · Omaha, Ne
- T• A••••••••• I••• formerOct 25, 2017 to Jan 6, 2021 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Sep 1, 2023, registered Oct 10, 2023 (39 days) · Wirehouse to independent RIA
- R••••• J•••••• F•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2022, registered Feb 3, 2023 (34 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 6, 2021, registered Oct 25, 2017 (-1169 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 6, 2021, registered Oct 25, 2017 (-1169 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedSep 1, 2023 · Advisor changed firm · fact
- ••• LockedDec 31, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address