DFX Intelligence
RIA Intelligence
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Registered advisor
W•••••• R•••••• H•••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Oct 21, 2019
In the industry
28 y
since Nov 28, 1997 (earliest exam, job or registration)
Prior registered firms
2
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
- R•• C•••••• M••••••• L•• national BD currentsince Oct 21, 2019 · Scottsdale, Az
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 16, 2018 to Nov 1, 2019 · Madison, Wi
- B• C• Z•••••• A•• C•••••• formerSep 8, 2009 to Mar 16, 2018 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to R•• C•••••• M••••••• L••left Nov 1, 2019, registered Oct 21, 2019 (-11 days) · Affiliated broker-dealer or bank to another
- B• C• Z•••••• A•• C•••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address