DFX Intelligence
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Registered advisor
T•••• L••••• W•••••
Feed of 09/15/2026
Also filed as T•••• L••••• D••••
At current firm
1 y
since Feb 26, 2025
In the industry
22 y
since Feb 27, 2004 (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
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 26, 2025 · Saint Paul, Mn
- U••• B•••••• I••••••••• I••• formerJun 29, 2007 to Feb 13, 2026 · Hopkinsville, Ky
- C•••• I••••••••• S••••••• C•••• formerSep 2, 2005 to Aug 29, 2006 · Owensboro, Ky
- A• G• E•••••• • S•••• I••• unclassifiedMar 1, 2004 to Jun 10, 2005 · Owensboro, Ky
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 26, 2025 (-352 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Aug 29, 2006, registered Jun 29, 2007 (304 days) · Other
- A• G• E•••••• • S•••• I••• to C•••• I••••••••• S••••••• C••••left Jun 10, 2005, registered Sep 2, 2005 (84 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address