DFX Intelligence
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Registered advisor
C•••••••• L••• W•••••
Feed of 09/23/2026
Also filed as C•••••••• L••• H••••••••• W••••••••• H••••
At current firm
0 y
since Sep 22, 2026
In the industry
30 y
since Oct 27, 1995 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 22, 2026 · Wichita, Ks
- E•••• S••••••••• L•• BD affiliatedAug 13, 2018 to Jul 20, 2026 · Wichita, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDDec 19, 1997 to Oct 31, 2003 · Wichita, Ks
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to O•••• W•••••• I•••left Jul 20, 2026, registered Sep 22, 2026 (64 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to E•••• S••••••••• L••left Oct 31, 2003, registered Aug 13, 2018 (5400 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address