DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C•••••• R••• M••••••••
Feed of 09/14/2026
Also filed as C•••••• R• O••••••••• R••• O•••••
At current firm
4 y
since Apr 29, 2022
In the industry
31 y
since Sep 5, 1995 (earliest exam, job or registration)
Prior registered firms
2
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Apr 29, 2022 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 4, 2022 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedDec 20, 2001 to Jan 3, 2011 · Wayzata, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 4, 2022, registered Apr 29, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMay 4, 2022 · Advisor changed firm · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address