DFX Intelligence
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Registered advisor
C••••• W•••••
Feed of 09/14/2026
Also filed as C••••• B• W••••••••• W•••••
At current firm
0 y
since Apr 13, 2026
In the industry
15 y
since Mar 1, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 13, 2026 · Downers Grove, Il
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Jul 28, 2025 · Scottsdale, Az
- S••••••••• A•••••• A•••••••• I••• formerMar 2, 2022 to Jun 14, 2024 · La Vista, Ne
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 15, 2021 to Feb 9, 2022 · Hilton Head Island, Sc
- C•••••• S••••• • C••• I••• national BDJul 2, 2019 to May 26, 2021 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 28, 2025, registered Apr 13, 2026 (259 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Feb 9, 2022, registered Mar 2, 2022 (21 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 26, 2021, registered Sep 15, 2021 (112 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJul 28, 2025 · Advisor changed firm · fact
- ••• LockedFeb 9, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address