DFX Intelligence
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Registered advisor
D••••• T•••••• L•••••••
Feed of 09/14/2026
At current firm
16 y
since Feb 26, 2010
In the industry
26 y
since May 8, 2000 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 26, 2010 · Orland Park, Il
- C•••• I••••••••• S••••••• C•••• formerJan 30, 2009 to Feb 19, 2009 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2008 to Dec 31, 2008 · Chicago, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedDec 10, 2001 to Oct 24, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 19, 2009, registered Feb 26, 2010 (372 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 31, 2008, registered Jan 30, 2009 (30 days) · Other
- L•••••• F•••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 24, 2008, registered Oct 24, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address