DFX Intelligence
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Registered advisor
C•••••• N••••• H••••••••
Feed of 09/14/2026
Also filed as C•••••• N••••• F••••••••• F••••••••• N••••• F•••••
At current firm
6 y
since May 20, 2020
In the industry
20 y
since Sep 15, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- O•••• W•••••• I••• BD affiliated currentsince May 20, 2020 · Maple Grove, Mn
- C••••• A•••••• N••••••• L•• formerNov 16, 2018 to Oct 25, 2019 · Minnetonka, Mn
- L•• F•••••••• L•• BD affiliatedJan 21, 2014 to Jul 8, 2014 · Bloomington, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to O•••• W•••••• I•••left Oct 25, 2019, registered May 20, 2020 (208 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• A•••••• N••••••• L••left Jul 8, 2014, registered Nov 16, 2018 (1592 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