DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D•••• W•••• T•••••
Feed of 09/14/2026
Also filed as D•••• W•••• T•••••
At current firm
4 y
since May 18, 2022
In the industry
33 y
since Oct 5, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerSep 21, 2017 to May 18, 2022 · Madison, Wi
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAApr 6, 2015 to Jun 16, 2017 · Wilmington, Nc
- C•••• I••••••••• S••••••• C•••• formerJun 20, 2006 to May 24, 2012 · Madison, Wi
- C•••••• S••••• • C••• I••• national BDOct 7, 2005 to Mar 8, 2006 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- M••••• O• O•••• I••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Jun 16, 2017, registered Sep 21, 2017 (97 days) · Other
- C•••• I••••••••• S••••••• C•••• to M••••• O• O•••• I••••••• S•••••••• I•••left May 24, 2012, registered Apr 6, 2015 (1047 days) · Other
- C•••••• S••••• • C••• I••• to C•••• I••••••••• S••••••• C••••left Mar 8, 2006, registered Jun 20, 2006 (104 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address