DFX Intelligence
RIA Intelligence
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Registered advisor
F•••• L•••• T•••••
Feed of 09/14/2026
At current firm
0 y
since Aug 20, 2026
In the industry
36 y
since Dec 26, 1989 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Aug 20, 2026 · Milwaukee, Wi
- S••••• I••••••••• A•••••••• L•• BD affiliatedNov 30, 2006 to Aug 20, 2026 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 5, 2004 to Dec 6, 2006 · Racine, Wi
Moves
a registration end followed by a registration begin elsewhere
- S••••• I••••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Aug 20, 2026, registered Aug 20, 2026 (0 days) · corporate re-registration, not a move
- S•••••• N••••••• • C••••••• I••••••••• to S••••• I••••••••• A•••••••• L••left Dec 6, 2006, registered Nov 30, 2006 (-6 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address