DFX Intelligence
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Registered advisor
C••• A•••• H•••••••
Feed of 09/14/2026
At current firm
1 y
since Jul 10, 2025
In the industry
27 y
since Jul 6, 1999 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Hiawatha, Ia
- N••• F•••••••• G••••• I••• formerApr 21, 2003 to Jul 10, 2025 · Marion, Ia
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 27, 1999 to Aug 20, 2002 · Cedar Rapids, Ia
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••left Aug 20, 2002, registered Apr 21, 2003 (244 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address