DFX Intelligence
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Registered advisor
P•••••• W•••••• C••••
Feed of 09/14/2026
At current firm
1 y
since Sep 22, 2025
In the industry
29 y
since Oct 17, 1996 (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
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 22, 2025 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJan 5, 2004 to Aug 27, 2024 · Chicago, Il
- S•• BD affiliatedAug 20, 2003 to Dec 31, 2003 · Des Plaines, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 27, 2024, registered Sep 22, 2025 (391 days) · Wirehouse to wirehouse
- S•• to W•••• F•••• A•••••••left Dec 31, 2003, registered Jan 5, 2004 (5 days) · Other
Signals
- ••• LockedAug 27, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address