DFX Intelligence
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Registered advisor
S•••• W•••••• A•••••
Feed of 09/14/2026
Also filed as S•••• A•••••
At current firm
15 y
since Sep 23, 2011
In the industry
35 y
since Apr 17, 1991 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 23, 2011 · Carmel, In
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 26, 2011 · Indianapolis, In
- M••••• S•••••• • C•• L•• unclassifiedNov 21, 2008 to Jun 1, 2009 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 1999 to Nov 26, 2008 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to L•• F•••••••• L••left Sep 26, 2011, registered Sep 23, 2011 (-3 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Nov 26, 2008, registered Nov 21, 2008 (-5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address