DFX Intelligence
RIA Intelligence
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Registered advisor
A••••• O•••••• W•••••
Feed of 09/15/2026
At current firm
12 y
since Nov 5, 2013
In the industry
18 y
since Aug 25, 2008 (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
S63, 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
- W•••• F•••• A••••••• wirehouse currentsince Nov 5, 2013 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedNov 23, 2010 to Jan 3, 2011 · Minneapolis, Mn
- T• A••••••••• I••• formerJun 24, 2009 to Feb 17, 2010 · Providence, Ri
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 22, 2009 to Feb 17, 2010 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Nov 5, 2013 (1037 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 17, 2010, registered Jun 24, 2009 (-238 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to W•••• F•••• I••••••••• L••left Feb 17, 2010, registered Nov 23, 2010 (279 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address