DFX Intelligence
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Registered advisor
T•••••• B••• B••••••••
Feed of 09/14/2026
Also filed as T•••••• B• B••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
15 y
since Apr 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Oakdale, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 3, 2022 to Mar 31, 2025 · Broomfield, Co
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 4, 2014 to Mar 28, 2022 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2022, registered May 3, 2022 (36 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedMar 28, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address