DFX Intelligence
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Registered advisor
S••• D•••
Feed of 09/15/2026
Also filed as S••• C•••••••• B••••••••• C• D•••••••• C•••••••• D•••
At current firm
2 y
since Feb 6, 2024
In the industry
18 y
since Feb 22, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Feb 6, 2024 · Milwaukee, Wi
- C•••••• S••••• • C••• I••• national BDSep 1, 2022 to Jul 3, 2023 · Lone Tree, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 20, 2018 to Aug 12, 2022 · Milwaukee, Wi
- C•••••• S••••• • C••• I••• national BDJan 20, 2016 to Nov 28, 2018 · Lone Tree, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 19, 2013 to Dec 31, 2015 · Milwaukee, Wi
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 3, 2023, registered Feb 6, 2024 (218 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C•••••• S••••• • C••• I•••left Aug 12, 2022, registered Sep 1, 2022 (20 days) · Other
- C•••••• S••••• • C••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Nov 28, 2018, registered Dec 20, 2018 (22 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C•••••• S••••• • C••• I•••left Dec 31, 2015, registered Jan 20, 2016 (20 days) · Other
Signals
- ••• LockedJul 3, 2023 · Advisor changed firm · fact
- ••• LockedAug 12, 2022 · 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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address