DFX Intelligence
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Registered advisor
L•••••• M••••• B••••
Feed of 09/14/2026
Also filed as L•••••• M• F••••••••• M••••• F••
At current firm
6 y
since Jan 2, 2020
In the industry
22 y
since Jun 8, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 2, 2020 · Wauwatosa, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 24, 2018 to Sep 6, 2019 · Madison, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 17, 2010 to Jan 18, 2017 · Milwaukee, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 1, 2007 to Oct 16, 2008 · Milwaukee, Wi
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Sep 6, 2019, registered Jan 2, 2020 (118 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Jan 18, 2017, registered May 24, 2018 (491 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address