DFX Intelligence
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Registered advisor
S••• P• W•••••
Feed of 09/14/2026
At current firm
0 y
since Oct 6, 2025
In the industry
22 y
since Jul 1, 2004 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 6, 2025 · Boca Raton, Fl
- L•• F•••••••• L•• BD affiliatedJan 27, 2021 to Oct 7, 2025 · Golden Valley, Mn
- U••• B•••••• I••••••••• I••• formerJun 6, 2011 to Jan 6, 2021 · Robbinsdale, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 4, 2004 to Jun 2, 2011 · Wayzata, Mn
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Oct 7, 2025, registered Oct 6, 2025 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Jan 6, 2021, registered Jan 27, 2021 (21 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Jun 2, 2011, registered Jun 6, 2011 (4 days) · Other
Signals
- ••• LockedOct 7, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address