DFX Intelligence
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Registered advisor
R•••••• C• R••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• C•••••••• R••••••••• R••••••••
At current firm
0 y
since Dec 10, 2025
In the industry
16 y
since Jul 1, 2010 (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
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
- E•••••••• A•••••••• L•• national BD currentsince Dec 10, 2025 · Greenbank, Wa
- E••••• J•••• national BDMar 11, 2020 to Dec 11, 2025 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to E•••••••• A•••••••• L••left Dec 11, 2025, registered Dec 10, 2025 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedDec 11, 2025 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address