DFX Intelligence
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Registered advisor
D•••• V••••• R•••••
Feed of 09/14/2026
Also filed as D•••• R••••••••• V• R••••••••• V••••• R•••••
At current firm
7 y
since Aug 5, 2019
In the industry
29 y
since Dec 19, 1996 (earliest exam, job or registration)
Prior registered firms
7
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 5, 2019 · Streator, Il
- W•••• F•••• A••••••• wirehouseDec 1, 2017 to Aug 6, 2019 · Streator, Il
- E••••• J•••• national BDJan 6, 2012 to Nov 1, 2017 · Streator, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 12, 2012 · Streator, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Streator, Il
- M••••• S•••••• D• I••• unclassifiedApr 15, 2005 to Apr 2, 2007 · Streator, Il
- I••••• F•••••••• C••••••••• formerJul 30, 2004 to Apr 19, 2005 · Streator, Il
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 2, 2002 to Aug 3, 2004 · Streator, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 6, 2019, registered Aug 5, 2019 (-1 days) · Wirehouse to independent RIA · moved with a team
- E••••• J•••• to W•••• F•••• A•••••••left Nov 1, 2017, registered Dec 1, 2017 (30 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to E••••• J••••left Jan 12, 2012, registered Jan 6, 2012 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to M••••• S•••••• D• I•••left Apr 19, 2005, registered Apr 15, 2005 (-4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Aug 3, 2004, registered Jul 30, 2004 (-4 days) · Other
Signals
No dated event on this person.
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address