DFX Intelligence
RIA Intelligence
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Registered advisor
D••• J•••• A••••••
Feed of 09/14/2026
At current firm
8 y
since May 14, 2018
In the industry
9 y
since Oct 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
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
- M•••••• A•••••••• L•• independent RIA currentsince May 14, 2018 · Milwaukee, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 12, 2016 to May 15, 2018 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- T••••••• I••••••••• M••••••••• I••• to M•••••• A•••••••• L••left May 15, 2018, registered May 14, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address