DFX Intelligence
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Registered advisor
M•••••• N••••••• W••••••••
Feed of 09/14/2026
Also filed as M•••••• N• W••••••••
At current firm
15 y
since Apr 4, 2011
In the industry
21 y
since Dec 29, 2004 (earliest exam, job or registration)
Prior registered firms
5
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
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Apr 4, 2011 · Milwaukee, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 17, 2009 to Mar 18, 2011 · Madison, Wi
- S••••••••• A•••••• A•••••••• I••• formerJun 15, 2009 to Nov 9, 2009 · La Vista, Ne
- C••• B•••••••• S•••••••• I••• formerJan 16, 2007 to Jul 3, 2008 · Madison, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 14, 2006 to Aug 22, 2006 · Milwaukee, Wi
- C••• B•••••••• S•••••••• I••• formerJan 3, 2006 to Jun 28, 2006 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Mar 18, 2011, registered Apr 4, 2011 (17 days) · Other
- S••••••••• A•••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Nov 9, 2009, registered Nov 17, 2009 (8 days) · Other
- C••• B•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jul 3, 2008, registered Jun 15, 2009 (347 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C••• B•••••••• S•••••••• I•••left Aug 22, 2006, registered Jan 16, 2007 (147 days) · Other
- C••• B•••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 28, 2006, registered Jul 14, 2006 (16 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address