DFX Intelligence
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Registered advisor
C•••••• T••••• W•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••• T••••• W•••
At current firm
1 y
since Sep 5, 2025
In the industry
22 y
since May 13, 2004 (earliest exam, job or registration)
Prior registered firms
4
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · South Milwaukee, Wi
- A•••••• A••••••• S••••••• formerFeb 16, 2018 to Sep 5, 2025 · South Milwaukee, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 26, 2018 · Wauwatosa, Wi
- M•• F•••••••• S•••••••• I••• formerMay 29, 2013 to Mar 25, 2017 · Milwaukee, Wi
- N••• F•••••••• G••••• I••• formerSep 16, 2009 to May 29, 2013 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to A•••••• A••••••• S•••••••left Feb 26, 2018, registered Feb 16, 2018 (-10 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to M•• F•••••••• S•••••••• I•••left May 29, 2013, registered May 29, 2013 (0 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address