DFX Intelligence
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Registered advisor
A••••• B••••• J••••
Feed of 09/15/2026
Also filed as A•••• S••••••••• B••••• J••••••••• S•••• J••••••••• S•••• J••••
At current firm
1 y
since Mar 31, 2025
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Colorado Springs, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 14, 2022 to Mar 31, 2025 · Chesterfield, Mi
- J••• M••••• S••••••••• L•• wirehouseDec 15, 2021 to Sep 8, 2022 · Birmingham, Mi
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 14, 2020 to Dec 11, 2020 · Novi, Mi
- M••••• S•••••• wirehouseSep 13, 2019 to Jan 13, 2020 · Saginaw, Mi
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 8, 2022, registered Oct 14, 2022 (36 days) · Wirehouse to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Dec 11, 2020, registered Dec 15, 2021 (369 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to V•••• F•••••••• A•••••••• I•••left Jan 13, 2020, registered Jan 14, 2020 (1 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedSep 8, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address