DFX Intelligence
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Registered advisor
R••••• C••••••• W•••••
Feed of 09/14/2026
At current firm
1 y
since Aug 14, 2025
In the industry
45 y
since Jun 11, 1981 (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
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 Aug 14, 2025 · Florence, Ky
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Aug 14, 2025 · Florence, Ky
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Florence, Ky
- Q•••••• A•••• M••••••••• I••• formerJan 10, 2005 to Mar 1, 2019 · Florence, Ky
- Q•••••• C•••••• C••••••••• unclassifiedFeb 20, 2004 to Dec 31, 2005 · Shoreview, Mn
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to E•••••••• A•••••••• L••left Aug 14, 2025, registered Aug 14, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- Q•••••• C•••••• C••••••••• to Q•••••• A•••• M••••••••• I•••left Dec 31, 2005, registered Jan 10, 2005 (-355 days) · corporate re-registration, not a move
Signals
- ••• LockedAug 14, 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address