DFX Intelligence
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Registered advisor
C•••• S•••• M•••••
Feed of 09/14/2026
Also filed as C•••• S• M•••••
At current firm
8 y
since Nov 13, 2017
In the industry
43 y
since Jun 2, 1983 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Nov 13, 2017 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 15, 2009 to Nov 17, 2017 · Naperville, Il
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Apr 20, 2009 · St. Charles, Il
- X•••• F•••••••• P•••••••• I••• unclassifiedSep 1, 2004 to Oct 7, 2004 · Anchorage, Ak
- A• G• E•••••• • S•••• I••• unclassifiedMar 13, 2001 to Jan 1, 2008 · St. Charles, Il
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to B••••••• F• E•••••• • C••••••• I•••••••••left Nov 17, 2017, registered Nov 13, 2017 (-4 days) · Other · moved with a team
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 20, 2009, registered May 15, 2009 (25 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to X•••• F•••••••• P•••••••• I•••left Jan 1, 2008, registered Sep 1, 2004 (-1217 days) · Other
- X•••• F•••••••• P•••••••• I••• to W•••• F•••• A•••••••left Oct 7, 2004, registered Jan 1, 2008 (1181 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address