DFX Intelligence
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B•••••• W••••• S••••
As of · the IAPD feed
- In the industry
- 17 y
- Prior registered firms
- 0
- Signals
- 1
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Outside business and network
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 1 disclosed outside organisation
- 1 also disclosed by other registered advisors
- 1 started or first disclosed in the last 12 months
Why it may matter
- someRecent external activity1 outside activity with a start date in the last 12 months.
- Contractor · since Aug 2026
I•••••••• (the advisor's own disclosure)
An insurance appointment or agency relationship, the most common outside activity among advisors; started within the last 12 months; 14 colleagues at the same firm disclose the same entity.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- F•••••• F•••••••• A•••••••• L•• BD affiliated currentsince Sep 22, 2026 · Suite 643, Co
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote