DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
17 y
since Jun 4, 2009
In the industry
28 y
since Dec 2, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••• state registered currentsince Jun 4, 2009 · Highland, In
- A••••••• T•••• I••••••••• S•••••••• I••• unclassifiedSep 6, 2005 to Jun 17, 2009 · Whiting, In
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Sep 6, 2005 · Merrillville, In
- B••• O•• S••••••••• C••••••••• unclassifiedJun 21, 2004 to Jul 6, 2005 · Merrillville, In
Moves
a registration end followed by a registration begin elsewhere
- A••••••• T•••• I••••••••• S•••••••• I••• to A•••left Jun 17, 2009, registered Jun 4, 2009 (-13 days) · Other
- C•••• I••••••••• S••••••• C•••• to A••••••• T•••• I••••••••• S•••••••• I•••left Sep 6, 2005, registered Sep 6, 2005 (0 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address