DFX Intelligence
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Registered advisor
L••• A•• C••••• W•••••
Feed of 09/14/2026
Also filed as L••• A•• C••••••••• A•• W•••••
At current firm
13 y
since Jun 3, 2013
In the industry
22 y
since Sep 1, 2004 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 3, 2013 · Neenah, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 9, 2004 to Jun 6, 2013 · Neenah, Wi
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 6, 2013, registered Jun 3, 2013 (-3 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