DFX Intelligence
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Registered advisor
N••••• A••• C••
Feed of 09/14/2026
Also filed as N••••• A••• T••••••••• A••• C••••••••• A••• T•••••••
At current firm
4 y
since Feb 3, 2022
In the industry
22 y
since Nov 1, 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
S66, 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•••••• S••••• • C••• I••• national BD currentsince Feb 3, 2022 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 26, 2015 to Sep 7, 2023 · Omaha, Ne
- T• A••••••••• I••• formerJan 26, 2015 to Oct 14, 2022 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Feb 3, 2022 (-581 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 26, 2015 (-2818 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address