DFX Intelligence
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Registered advisor
P•••••• T••• C•••••••••
Feed of 09/14/2026
At current firm
2 y
since Jan 19, 2024
In the industry
25 y
since Jan 15, 2001 (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, 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
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Appleton, Wi
- W••••••• F•••••••• S•••••••• I••• formerSep 13, 2011 to Jan 19, 2024 · Appleton, Wi
- W••••••• F•••••••• S•••••••• I••• formerApr 24, 2009 to Sep 2, 2011 · Appleton, Wi
- M••••• S•••••• • C•• L•• unclassifiedJun 15, 2007 to Apr 27, 2009 · Appleton, Wi
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to W••••••• F•••••••• S•••••••• I•••left Apr 27, 2009, registered Apr 24, 2009 (-3 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address