DFX Intelligence
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Registered advisor
V••••• W•••••
Feed of 09/14/2026
Also filed as V••••• L•• D••• W••••••••• L• W••••••••• L•• D••• W••••••••• L• W•••••
At current firm
0 y
since Jan 26, 2026
In the industry
31 y
since Aug 29, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- P•• W••••• M••••••••• BD affiliated currentsince Jan 26, 2026 · Naperville, Il
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jan 21, 2026 · Naperville, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 18, 2023 to Mar 31, 2025 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 14, 2022 to Sep 26, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to P•• W••••• M•••••••••left Jan 21, 2026, registered Jan 26, 2026 (5 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 26, 2022, registered Jan 18, 2023 (114 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedJan 21, 2026 · Advisor changed firm · fact
- ••• LockedSep 26, 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