DFX Intelligence
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Registered advisor
S•••• H••••••
Feed of 09/14/2026
Also filed as S•••• L••• D•••••••• L••• M••••••••• L••• M••••••••• L••• M••••••••• L••• H••••••
At current firm
4 y
since Jun 14, 2022
In the industry
27 y
since Sep 24, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 14, 2022 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedAug 20, 2010 to Jul 1, 2022 · La Crosse, Wi
- C•••••••• F•••••••• G•••• A••••••• formerJun 2, 2010 to Aug 25, 2010 · Onalaska, Wi
- C•••• I••••••••• S••••••• C•••• formerMar 31, 2008 to Nov 10, 2009 · Belpre, Oh
- S•••••••• A••••••• L•• national BDSep 15, 2000 to Mar 28, 2008 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jul 1, 2022, registered Jun 14, 2022 (-17 days) · RIA to wirehouse
- C•••••••• F•••••••• G•••• A••••••• to L•• F•••••••• L••left Aug 25, 2010, registered Aug 20, 2010 (-5 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• F•••••••• G•••• A•••••••left Nov 10, 2009, registered Jun 2, 2010 (204 days) · Other
- S•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Mar 28, 2008, registered Mar 31, 2008 (3 days) · Other
Signals
- ••• LockedJul 1, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address