DFX Intelligence
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Registered advisor
R•••••• L• H••••••
Feed of 09/14/2026
Also filed as R•••••• L• W••••••••• L••• H••••••••• L••• W••••••••• L• H••••••••• L••• W••••••••• L• W••••••••• L• H••••••
At current firm
0 y
since Jan 1, 2026
In the industry
12 y
since Jun 4, 2014 (earliest exam, job or registration)
Prior registered firms
3
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
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jan 1, 2026 · Bloomington, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 10, 2015 to Jul 3, 2023 · Bloomington, Mn
- R•• C•••••• M••••••• L•• national BDOct 13, 2014 to Mar 12, 2015 · Minneapolis, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 5, 2014 to Oct 31, 2014 · Prior Lake, Mn
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Mar 12, 2015, registered Apr 10, 2015 (29 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to R•• C•••••• M••••••• L••left Oct 31, 2014, registered Oct 13, 2014 (-18 days) · Other
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
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address