DFX Intelligence
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Registered advisor
D••••• M• B••••
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
23 y
since Jan 28, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Wauwatosa, Wi
- P•••• S••••••••• L•• no RAUMDec 20, 2021 to Nov 14, 2024 · West Des Moines, Ia
- E•••••••• A•••••••• L•• national BDAug 26, 2013 to Dec 16, 2021 · West Des Moines, Ia
- O• I••••••••• M••••••••• C• BD affiliatedOct 24, 2011 to Feb 15, 2013 · West Des Moines, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 12, 2008 to Oct 7, 2011 · West Des Moines, Ia
- W•••••• • R••• formerFeb 3, 2003 to Feb 8, 2007 · Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Dec 16, 2021, registered Dec 20, 2021 (4 days) · Affiliated broker-dealer or bank to another
- O• I••••••••• M••••••••• C• to E•••••••• A•••••••• L••left Feb 15, 2013, registered Aug 26, 2013 (192 days) · Other
- M•• I•••••••• S•••••••• L•• to O• I••••••••• M••••••••• C•left Oct 7, 2011, registered Oct 24, 2011 (17 days) · Other
- W•••••• • R••• to M•• I•••••••• S•••••••• L••left Feb 8, 2007, registered Feb 12, 2008 (369 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address