DFX Intelligence
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Registered advisor
D•••• T••• U•••
Feed of 09/14/2026
Also filed as D•••• T••• U•••
At current firm
13 y
since Oct 17, 2012
In the industry
41 y
since Sep 3, 1985 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Oct 17, 2012 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseApr 28, 2009 to Oct 18, 2012 · Woodbury, Mn
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 5, 2006 to Apr 28, 2009 · St. Paul, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Oct 18, 2012, registered Oct 17, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Apr 28, 2009, registered Apr 28, 2009 (0 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address