DFX Intelligence
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Registered advisor
T•••• N•••••• N•••••••••
Feed of 09/14/2026
Also filed as T•••• N• O••••••••• N••••• N••••••••• N•••••• O•••••••
At current firm
4 y
since May 18, 2022
In the industry
17 y
since Jan 29, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerJun 3, 2011 to May 18, 2022 · Madison, Wi
- L•• F•••••••• L•• BD affiliatedNov 30, 2010 to May 31, 2011 · Fort Mill, Sc
- N•• A•••••••• I••• unclassifiedJun 17, 2010 to Nov 30, 2010 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left May 31, 2011, registered Jun 3, 2011 (3 days) · Other
- N•• A•••••••• I••• to L•• F•••••••• L••left Nov 30, 2010, registered Nov 30, 2010 (0 days) · corporate re-registration, not a move
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address