DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• C• W•••••
Feed of 09/15/2026
Also filed as D•••• C• W•••••
At current firm
0 y
since Mar 30, 2026
In the industry
33 y
since May 1, 1993 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 30, 2026 · Yantis, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 17, 2007 to Mar 30, 2026 · Crystal Lake, Il
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Mar 30, 2026, registered Mar 30, 2026 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- D•••• C• W••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2026-03-30)Mar 30, 2026 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address