DFX Intelligence
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Registered advisor
M••• F• W•••••••
Feed of 09/14/2026
Also filed as M••• F• S•••••••
At current firm
4 y
since Apr 19, 2022
In the industry
21 y
since Dec 21, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 19, 2022 · Waukesha, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDJan 20, 2017 to Apr 20, 2022 · Edina, Mn
- U•• F•••••••• S••••••• I••• wirehouseNov 20, 2007 to Jan 24, 2017 · Brookfield, Wi
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 20, 2022, registered Apr 19, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 24, 2017, registered Jan 20, 2017 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedApr 20, 2022 · Advisor changed firm · 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address