DFX Intelligence
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Feed of 09/15/2026
Also filed as R•••••••• E•••• D••••••••• E•••• W••••••••• E•••• N•••••
At current firm
8 y
since Jun 12, 2018
In the industry
22 y
since Sep 1, 2004 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••• L•• BD affiliated currentsince Jun 12, 2018 · Fort Atkinson, Wi
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Jan 30, 2024 · Fort Atkinson, Wi
- C••••• A•••••• N••••••• L•• formerAug 8, 2018 to Jun 29, 2023 · Fort Atkinson, Wi
- L•• F•••••••• L•• BD affiliatedNov 14, 2016 to Jun 20, 2018 · Fort Atkinson, Wi
- A•••••• A••••••• S••••••• formerAug 5, 2013 to Nov 25, 2016 · Fort Atkinson, Wi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to no registered destinationleft Jan 30, 2024 · Departure, no registered destination
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• L••left Jun 20, 2018, registered Jun 12, 2018 (-8 days) · RIA to RIA · moved with a team
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Nov 25, 2016, registered Nov 14, 2016 (-11 days) · Other
Signals
- ••• LockedJan 30, 2024 · Advisor departure · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address