DFX Intelligence
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Registered advisor
W•••••• I••• H•••••••••
Feed of 09/14/2026
Also filed as W•••••• I••• H••••••••• I••• H••••••••• I••• H••••••••• I••• H••••••••• H•••••••••
At current firm
6 y
since Feb 6, 2020
In the industry
15 y
since Dec 22, 2010 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 6, 2020 · Green Bay, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 29, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 1, 2015 to Jul 13, 2018 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 18, 2011 to Mar 23, 2015 · Skokie, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 26, 2011 to Nov 17, 2011 · Houston, Tx
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 23, 2010 to May 5, 2011 · Irving, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Jan 29, 2020, registered Feb 6, 2020 (8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Mar 23, 2015, registered Apr 1, 2015 (9 days) · Wirehouse to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 17, 2011, registered Nov 18, 2011 (1 days) · Other
- T••••••• I••••••••• M••••••••• I••• to V•••• F•••••••• A•••••••• I•••left May 5, 2011, registered May 26, 2011 (21 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address