DFX Intelligence
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Registered advisor
R••• M•••••• D•••••••
Feed of 09/14/2026
At current firm
3 y
since Jul 20, 2023
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 20, 2023 · Bismarck, Nd
- L•• F•••••••• L•• BD affiliatedJun 6, 2019 to Jul 26, 2023 · Bismarck, Nd
- A•••••• A••••••• S••••••• formerSep 24, 2018 to Jun 7, 2019 · Bismarck, Nd
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Aug 21, 2018 · Bismarck, Nd
- I••••••••• C•••••• O• A••••••• I••• formerSep 26, 2017 to Nov 29, 2017 · Bismarck, Nd
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 26, 2023, registered Jul 20, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Jun 7, 2019, registered Jun 6, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left Aug 21, 2018, registered Sep 24, 2018 (34 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 26, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address