DFX Intelligence
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J•••••• W•••••• D••
Chartered Financial Consultant
As of · the IAPD feed
- In the industry
- 40 y
- Prior registered firms
- 3
- Signals
- 2
As of · the IAPD feed
ContactWhat is shown hereOnly business contact points published by the advisor’s firm, on its own site or advisor directory, and matched to this registered advisor with a second fact beyond the name. Nothing is inferred or guessed; an office or team line is labelled as such and never shown as a direct line.
what the firm publishes for this advisor, each with the page it was read from
- Business email
- ••• Lockedreportednorthrockpartners.comfirm site, Sep 24, 2026
- Advisor profile
- ••• Lockedreportedwithheld-3firm site, Sep 24, 2026
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssomedesignations Chartered Financial Consultant; 40.9 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitystrongpublished business email at northrockpartners.com (firm_website)
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving.
- Recent change activitynotableDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 9.4 years.
Career
- 40.9 years in the industry
- 2 prior registered firms; median stay 9.4 years
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 2 states (firm median 2); added TX, WI in the last 180 days
- Exams: Series 63
- Designations: Chartered Financial Consultant
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 2 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Contractor Advisorreportednorthrockpartners.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- N•••••••• P•••••••• L•• independent RIA currentsince Sep 22, 2026 · Minneapolis, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 24, 2026 · Wauwatosa, Wi
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Milwaukee, Wi
- N•• E•••••• S••••••••• C••••••••• formerMay 22, 1998 to Jan 2, 2015 · Brookfield, Wi
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to N•••••••• P•••••••• L••left Sep 24, 2026, registered Sep 22, 2026 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 24, 2026 · Advisor changed firm · fact
- ••• LockedSep 23, 2026 · Advisor added a designation · 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom 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