DFX Intelligence
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Registered advisor
D•••••• A• T•••••
Feed of 09/14/2026
At current firm
3 y
since Jun 29, 2023
In the industry
40 y
since Apr 1, 1986 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Omaha, Ne
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Jun 25, 2021 · Omaha, Ne
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Lincoln, Ne
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 12, 2011 to May 13, 2016 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Jun 25, 2021, registered Jun 29, 2023 (734 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address