DFX Intelligence
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Registered advisor
P•••••• W•••••• C•••••••••
Feed of 09/14/2026
At current firm
2 y
since Feb 22, 2024
In the industry
34 y
since Feb 14, 1992 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 22, 2024 · Decatur, Il
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Mar 13, 2024 · Decatur, Il
- C••• B•••••••• S•••••••• I••• formerSep 9, 2013 to May 18, 2022 · Decatur, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 11, 2011 to Aug 30, 2013 · Decatur, Il
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 13, 2024, registered Feb 22, 2024 (-20 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Aug 30, 2013, registered Sep 9, 2013 (10 days) · Other
Signals
- ••• LockedMar 13, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address