DFX Intelligence
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Registered advisor
W•••• C•••••• M••••
Feed of 09/15/2026
At current firm
2 y
since Jan 17, 2024
In the industry
37 y
since May 17, 1989 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 17, 2024 · Gaylord, Mi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 5, 2018 to Jan 19, 2024 · Bay City, Mi
- S••••••••• A•••••• A•••••••• I••• formerSep 23, 2013 to Nov 6, 2018 · Bay City, Mi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 25, 2008 to Oct 3, 2013 · Roscommon, Mi
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jan 19, 2024, registered Jan 17, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 6, 2018, registered Nov 5, 2018 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 3, 2013, registered Sep 23, 2013 (-10 days) · Other
Signals
- ••• LockedJan 19, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address