DFX Intelligence
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Registered advisor
A••••• D•••• R••••••
Feed of 09/14/2026
Also filed as A••••• D• H••••••••• D•••• H•••
At current firm
4 y
since May 18, 2022
In the industry
16 y
since Feb 16, 2010 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Lafayette, In
- C••• B•••••••• S•••••••• I••• formerOct 11, 2019 to May 18, 2022 · Waverly, Ia
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 18, 2015 to Sep 27, 2019 · Lafayette, In
- W•••• F•••• A••••••• wirehouseAug 14, 2015 to Nov 12, 2015 · Lafayette, In
- H••••••••• F•••••••• A••••••• BD affiliatedJun 13, 2013 to Sep 4, 2015 · Lafayette, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 7, 2013 · Lafayette, In
- C•••• I••••••••• S••••••• C•••• formerNov 4, 2011 to Oct 1, 2012 · Lafayette, In
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Sep 27, 2019, registered Oct 11, 2019 (14 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Nov 12, 2015, registered Nov 18, 2015 (6 days) · Other
- H••••••••• F•••••••• A••••••• to W•••• F•••• A•••••••left Sep 4, 2015, registered Aug 14, 2015 (-21 days) · Other
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Jun 7, 2013, registered Jun 13, 2013 (6 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address