DFX Intelligence
RIA Intelligence
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Registered advisor
C••••••••• T••• M•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••••••••• T••• M•••
At current firm
12 y
since Nov 13, 2013
In the industry
23 y
since Sep 11, 2003 (earliest exam, job or registration)
Prior registered firms
2
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
- C•• F•••••••• P•••••••• I••• independent RIA currentsince Nov 13, 2013 · Chicago, Il
- C•• F•••••••• P•••••••• I••• independent RIAFeb 14, 2007 to Nov 30, 2012 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedJul 25, 2005 to Oct 24, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to C•• F•••••••• P•••••••• I•••left Oct 24, 2005, registered Feb 14, 2007 (478 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address