DFX Intelligence
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Feed of 09/14/2026
Also filed as W•••••• A••••
At current firm
3 y
since Jan 12, 2023
In the industry
16 y
since Oct 9, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• H••• W•••••• L•• former currentsince Jan 12, 2023 · Nashville, Tn
- M••••• S•••••• wirehouseNov 19, 2012 to Jan 19, 2023 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 12, 2009 to Aug 27, 2012 · Knoxville, Tn
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••• H••• W•••••• L••left Jan 19, 2023, registered Jan 12, 2023 (-7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 27, 2012, registered Nov 19, 2012 (84 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 19, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Former SEC-registered adviserderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address