DFX Intelligence
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Registered advisor
D••••• L••• F•••••
Feed of 09/14/2026
Also filed as D••••• L• F••••••••• F•••••
At current firm
0 y
since Feb 13, 2026
In the industry
32 y
since Aug 6, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Sioux Falls, Sd
- U••• B•••••• I••••••••• I••• formerJul 6, 2010 to Feb 13, 2026 · Sioux Falls, Sd
- C•••••• I••••••••• G•••• A•••••••• L•• unclassifiedNov 18, 2009 to Jul 19, 2010 · C••••••, Il
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Dec 2, 2009 · Sioux Falls, Sd
- P•••• S•••••• • C•• institutionalNov 19, 1999 to Aug 12, 2006 · Sioux Falls, Sd
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- C•••••• I••••••••• G•••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Jul 19, 2010, registered Jul 6, 2010 (-13 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••• I••••••••• G•••• A•••••••• L••left Dec 2, 2009, registered Nov 18, 2009 (-14 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address