DFX Intelligence
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Registered advisor
P•••• C••• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as P•••• C• M••••••••• M••••••••• C••• M••••••••• M•••••
At current firm
2 y
since Apr 22, 2024
In the industry
27 y
since Jul 16, 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
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
- W•••• F•••• A••••••• wirehouse currentsince Apr 22, 2024 · Negaunee, Mi
- L•• F•••••••• L•• BD affiliatedAug 26, 2019 to Apr 29, 2024 · Gwinn, Mi
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 27, 2019 · Marquette, Mi
- W•••• F•••• I••••••••• L•• unclassifiedSep 25, 2006 to Jan 3, 2011 · Marquette, Mi
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 29, 2024, registered Apr 22, 2024 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 27, 2019, registered Aug 26, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- 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
- ••• LockedApr 29, 2024 · 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