DFX Intelligence
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Registered advisor
E•••• M•••• P••••••
Feed of 09/14/2026
At current firm
3 y
since Sep 29, 2022
In the industry
24 y
since Apr 26, 2002 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 29, 2022 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 9, 2018 to Oct 1, 2022 · Chicago, Il
- W•••• F•••• A••••••• wirehouseMar 24, 2011 to Jul 25, 2018 · Minneapolis, Mn
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 23, 2011 · Chicago, Il
- C••••••• I••••••••• S••••••• unclassifiedOct 7, 2005 to May 29, 2007 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 1, 2022, registered Sep 29, 2022 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Jul 25, 2018, registered Aug 9, 2018 (15 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 23, 2011, registered Mar 24, 2011 (29 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 1, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address