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
C••••• V•• C••••
Feed of 09/15/2026
At current firm
10 y
since Apr 19, 2016
In the industry
37 y
since Oct 21, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 19, 2016 · Burlington, Ia
- I••••• F•••••••• C••••••••• formerMay 18, 2006 to Apr 26, 2016 · Burlington, Ia
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to J• W• C••• A•••••••• I•••left Apr 26, 2016, registered Apr 19, 2016 (-7 days) · Other · moved with a team
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address