DFX Intelligence
RIA Intelligence
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Registered advisor
C••• D•••• O••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
3 y
since Oct 5, 2022
In the industry
20 y
since Mar 7, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Edina, Mn
- A••••••••• W••••• P••••••• independent RIA currentsince Oct 5, 2022 · Minnetonka, Mn
- C••••• A•••••• N••••••• L•• formerJan 8, 2014 to Apr 30, 2020 · Edina, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDOct 3, 2006 to Dec 20, 2007 · Lake Elmo, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to A••••••••• W••••• P•••••••left Apr 30, 2020, registered Oct 5, 2022 (888 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Dec 20, 2007, registered Jan 8, 2014 (2211 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address