DFX Intelligence
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Registered advisor
S••••• M••••• C••••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
6 y
since Apr 6, 2020
In the industry
25 y
since Mar 3, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- F•••• T•••• A••••••• L• asset manager currentsince Apr 6, 2020 · Wheaton, Il
- W•••••• • R••• formerApr 6, 2001 to May 29, 2003 · Countryside , Il
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to F•••• T•••• A••••••• L•left May 29, 2003, registered Apr 6, 2020 (6157 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address