DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
At current firm
3 y
since Aug 9, 2023
In the industry
32 y
since Aug 4, 1994 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Aug 9, 2023 · Birmingham, Mi
- W•••• F•••• A••••••• wirehouseAug 5, 2014 to Aug 15, 2023 · Milwaukee, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Birmingham, Mi
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Bloomfield Hills, Mi
- B••• O•• S••••••••• C••••••••• unclassifiedAug 29, 2001 to Sep 27, 2006 · Bloomfield Hills, Mi
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Aug 15, 2023, registered Aug 9, 2023 (-6 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 15, 2012, registered Aug 5, 2014 (812 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedAug 15, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address