DFX Intelligence
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Feed of 09/14/2026
Also filed as E•••• T• M••••••••• T•••••• M••••••••• T• M••••••••• T• F••••••••• T•••••• F•••••
At current firm
1 y
since Aug 28, 2025
In the industry
18 y
since Jun 6, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Aug 28, 2025 · Wayzata, Mn
- U•• F•••••••• S••••••• I••• wirehouseJul 18, 2017 to Sep 9, 2025 · Minneapolis, Mn
- R•• C•••••• M••••••• L•• national BDAug 16, 2013 to Aug 1, 2017 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 8, 2011 to Jun 3, 2013 · Northbrook, Il
- W•••• F•••• A••••••• wirehouseAug 5, 2008 to Jul 18, 2011 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 9, 2025, registered Aug 28, 2025 (-12 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 1, 2017, registered Jul 18, 2017 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jun 3, 2013, registered Aug 16, 2013 (74 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 18, 2011, registered Aug 8, 2011 (21 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 9, 2025 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address