DFX Intelligence
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Registered advisor
S••• R•••••• T••••
Feed of 09/14/2026
At current firm
18 y
since Sep 27, 2007
In the industry
29 y
since Aug 1, 1997 (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 Sep 27, 2007 · Omaha, Ne
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedFeb 1, 2007 to Apr 30, 2007 · Milwaukee, Wi
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• W••••• M••••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 30, 2007, registered Sep 27, 2007 (150 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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