DFX Intelligence
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Registered advisor
W•••• D••• T•••••••
Feed of 09/14/2026
Also filed as W•••• D••• R••••••••• D••• K•••••••
At current firm
22 y
since Jun 15, 2004
In the industry
29 y
since Nov 6, 1996 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jun 15, 2004 · Milwaukee, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedJan 8, 2002 to May 11, 2004 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- S••••• C•••••• M••••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left May 11, 2004, registered Jun 15, 2004 (35 days) · Other
Signals
No dated event on this person.
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
- No RAUM reportedderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address