DFX Intelligence
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Registered advisor
M•••••• H••• W••••••••
Feed of 09/14/2026
At current firm
9 y
since Jul 12, 2017
In the industry
27 y
since Sep 3, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
- R•• C•••••• M••••••• L•• national BD currentsince Jul 12, 2017 · Minneapolis, Mn
- U••• B•••••• I••••••••• I••• formerMar 6, 2012 to Jul 11, 2017 · Saint Paul, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 7, 2011 · St. Louis, Mo
- W•••• F•••• I••••••••• L•• unclassifiedOct 3, 2006 to Jan 3, 2011 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••left Jul 11, 2017, registered Jul 12, 2017 (1 day) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Nov 7, 2011, registered Mar 6, 2012 (120 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address