DFX Intelligence
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Registered advisor
J••••••• P••• P••••
Feed of 09/14/2026
Also filed as J•• P••••••••• P••• P••••••••• P••• P••••
At current firm
6 y
since Jan 22, 2020
In the industry
29 y
since Aug 21, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 22, 2020 · Decorah, Ia
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Dec 31, 2019 · Decorah, Ia
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Decorah, Ia
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedNov 28, 2012 to May 13, 2016 · Decorah, Ia
- C••••• A•••••• N••••••• L•• formerFeb 16, 2011 to Feb 17, 2011 · Minnetonka, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedAug 31, 2004 to Dec 31, 2010 · Decorah, Ia
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to P•••••••• S••••••••• I•••left Dec 31, 2019, registered Jan 22, 2020 (22 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Feb 17, 2011, registered Nov 28, 2012 (650 days) · Other
- T••••••• I••••••••• M••••••••• I••• to C••••• A•••••• N••••••• L••left Dec 31, 2010, registered Feb 16, 2011 (47 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
- 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