DFX Intelligence

RIA Intelligence

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T••• J•• R••••••

Registered advisorat C••••••••• F•••••••• N••••••Dual registrant· Prairie Du Sac, Wi IAPD 1417382
At current firm
22 y
since Feb 10, 2004
In the industry
37 y
Prior registered firms
2
Signals
1
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Registration history
IAPD current and previous registrations
  • S••••• L••• A•••••••• L•• unclassified
    Mar 11, 2019 to Sep 1, 2022 · Prairie Du Sac, Wi
  • P••• S••••••••• C••••••••• unclassified
    Sep 4, 2002 to Dec 31, 2008 · Sauk City, Wi
Moves
a registration end followed by a registration begin elsewhere
Signals
  • ••• Locked
    Sep 1, 2022 · Advisor departure · fact
Transition signals

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
National broker-dealer RIAderived
Years in industry
37derivedfrom 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