DFX Intelligence
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Feed of 09/14/2026
At current firm
15 y
since Aug 8, 2011
In the industry
20 y
since Feb 21, 2006 (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, 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
- P•••••••• A••••••• national BD currentsince Aug 8, 2011 · Duluth, Ga
- N•••••• I••••••••• I••• unclassifiedApr 23, 2008 to Mar 17, 2009 · Wauwatosa, Wi
- R•• C•••••• M••••••• L•• national BDNov 22, 2006 to Apr 24, 2008 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- N•••••• I••••••••• I••• to P•••••••• A•••••••left Mar 17, 2009, registered Aug 8, 2011 (874 days) · Other
- R•• C•••••• M••••••• L•• to N•••••• I••••••••• I•••left Apr 24, 2008, registered Apr 23, 2008 (-1 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address