DFX Intelligence
RIA Intelligence
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Registered advisor
N•••••••• W•••• B•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Apr 25, 2023
In the industry
18 y
since Apr 9, 2008 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 25, 2023 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• formerJun 24, 2015 to Apr 20, 2023 · La Vista, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 11, 2008 to Jun 23, 2015 · Omaha, Ne
- T• A••••••••• I••• formerApr 11, 2008 to Jun 23, 2015 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Apr 20, 2023, registered Apr 25, 2023 (5 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 23, 2015, registered Apr 11, 2008 (-2629 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 23, 2015, registered Apr 11, 2008 (-2629 days) · Other
Signals
- N•••••••• W•••• B••••• left S••••••••• A•••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-04-25)Apr 20, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address