DFX Intelligence
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Registered advisor
R••••• N••• W•••
Feed of 09/14/2026
At current firm
10 y
since Apr 21, 2016
In the industry
24 y
since Jan 22, 2002 (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, 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
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Apr 21, 2016 · Chicago, Il
- A••••• A•• P••••••• S••••••• BD affiliatedDec 19, 2011 to Apr 25, 2014 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMay 26, 2010 to Dec 2, 2011 · Charlotte, Nc
- E•••••••• I••••••••• M••••••••• C• unclassifiedOct 16, 2009 to Dec 31, 2009 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to N••••• A•••• M••••••••• L••left Apr 25, 2014, registered Apr 21, 2016 (727 days) · Other
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Dec 2, 2011, registered Dec 19, 2011 (17 days) · Other
- E•••••••• I••••••••• M••••••••• C• to W•••• F•••• A•••••••left Dec 31, 2009, registered May 26, 2010 (146 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address