DFX Intelligence
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Registered advisor
S•••• D•••• I••••
Feed of 09/16/2026
At current firm
4 y
since May 18, 2022
In the industry
28 y
since Jan 29, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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 May 18, 2022 · Apple Valley, Mn
- C••• B•••••••• S•••••••• I••• formerAug 30, 2018 to May 18, 2022 · Eden Prairie, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 22, 2017 to Aug 17, 2018 · Minnetonka, Mn
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 14, 2010 to Mar 21, 2017 · Edina, Mn
- T• A••••••••• I••• formerOct 14, 2010 to Mar 21, 2017 · Edina, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Aug 17, 2018, registered Aug 30, 2018 (13 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 21, 2017, registered Mar 22, 2017 (1 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 21, 2017, registered Oct 14, 2010 (-2350 days) · channel change inside one enterprise, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address