DFX Intelligence
RIA Intelligence
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Registered advisor
T•••••• J••• S••••••
Feed of 09/14/2026
At current firm
5 y
since May 12, 2021
In the industry
31 y
since Mar 21, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
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
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince May 12, 2021 · Waukesha, Wi
- W•••• F•••• A••••••• wirehouseMar 20, 2014 to May 10, 2021 · Milwaukee, Wi
- C•••• C•••• S••••••••• I••• unclassifiedApr 27, 2010 to Apr 17, 2014 · Milwaukee, Wi
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 26, 2010 · Milwaukee, Wi
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 1, 2006 to Jun 1, 2009 · Milwaukee, Wi
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••left May 10, 2021, registered May 12, 2021 (2 days) · Wirehouse to independent RIA
- C•••• C•••• S••••••••• I••• to W•••• F•••• A•••••••left Apr 17, 2014, registered Mar 20, 2014 (-28 days) · Other
- M••••• S•••••• to C•••• C•••• S••••••••• I•••left Apr 26, 2010, registered Apr 27, 2010 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- I••••••••• WEALTHderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address