DFX Intelligence
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Registered advisor
E••••• C•••••• B••••
Feed of 09/14/2026
At current firm
4 y
since Sep 30, 2021
In the industry
28 y
since Aug 3, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 30, 2021 · Schaumburg, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 14, 2008 to Sep 29, 2021 · Schaumburg, Il
- A••••••••• F•••••••• S•••••••• L•• national BDAug 17, 1998 to Nov 2, 2005 · Lisle, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 2, 2005, registered May 14, 2008 (924 days) · Other
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
- 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