DFX Intelligence
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Registered advisor
C•••• A•• E••••••
Feed of 09/14/2026
At current firm
9 y
since Jun 1, 2017
In the industry
29 y
since Mar 19, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jun 1, 2017 · Waukesha, Wi
- W•••• F•••• A••••••• wirehouseFeb 23, 2010 to Jun 29, 2016 · Palo Alto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 7, 2006 to Jan 23, 2009 · Menlo Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Jun 29, 2016, registered Jun 1, 2017 (337 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jan 23, 2009, registered Feb 23, 2010 (396 days) · Other
Signals
No dated event on this person.
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address