DFX Intelligence
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Registered advisor
W•••••• D••••• N••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as D••••• N••••••••• N••••••
At current firm
3 y
since Jan 26, 2023
In the industry
30 y
since Feb 24, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
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
- C••• L•• BD affiliated currentsince Jan 26, 2023 · Palatine, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 27, 2023 · Winnetka, Il
- C•••• I••••••••• S••••••• C•••• formerAug 25, 2008 to Oct 1, 2012 · Glencoe, Il
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 21, 2008 · Lake Forest, Il
- A• G• E•••••• • S•••• I••• unclassifiedAug 29, 2002 to Jan 1, 2008 · Lake Forest, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••• L••left Jan 27, 2023, registered Jan 26, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Aug 21, 2008, registered Aug 25, 2008 (4 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 27, 2023 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address