DFX Intelligence
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Registered advisor
G•••• R•••••• M•••••••
Feed of 09/14/2026
At current firm
3 y
since Oct 11, 2022
In the industry
15 y
since Sep 12, 2011 (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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 11, 2022 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 19, 2013 to Dec 31, 2016 · Minneapolis, Mn
- U••• B•••••• I••••••••• I••• formerJan 6, 2012 to Jul 30, 2013 · Saint Paul, Mn
- R•• C•••••• M••••••• L•• national BDSep 13, 2011 to Dec 22, 2011 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2013, registered Sep 19, 2013 (51 days) · Other
- R•• C•••••• M••••••• L•• to U••• B•••••• I••••••••• I•••left Dec 22, 2011, registered Jan 6, 2012 (15 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address