DFX Intelligence
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Registered advisor
S•••• L••• H•••••
Feed of 09/14/2026
At current firm
3 y
since Dec 13, 2022
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 13, 2022 · Parsons, Ks
- O•••• W•••••• I••• BD affiliatedFeb 10, 2022 to Dec 13, 2022 · Carthage, Mo
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Dec 13, 2022, registered Dec 13, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedDec 13, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address