DFX Intelligence
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Registered advisor
L••••••• R•••••• L•••••
Feed of 09/14/2026
Also filed as L•••• L••••••••• R• L••••••••• L••••••••• R•••••• L••••••••• R•••••• L•••••
At current firm
3 y
since May 23, 2023
In the industry
27 y
since Oct 1, 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
S66, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince May 23, 2023 · Spring Lake, Mi
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to May 25, 2023 · Grand Rapids, Mi
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Grand Rapids, Mi
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to May 25, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 29, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 25, 2023, registered Feb 27, 2018 (-1913 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left May 25, 2023, registered May 23, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMay 25, 2023 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address