DFX Intelligence
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Feed of 09/14/2026
Also filed as A•••••••• G••••••••• G••••••••• N•••••• G••••••••• N• C••••••••• C•••••••
At current firm
2 y
since Dec 6, 2023
In the industry
11 y
since Jun 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
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
- F••••• I••••••••• independent RIA currentsince Dec 6, 2023 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 25, 2019 to Oct 5, 2020 · Highland Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2017 to May 30, 2019 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to F••••• I•••••••••left Oct 5, 2020, registered Dec 6, 2023 (1157 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 30, 2019, registered Jun 25, 2019 (26 days) · Wirehouse to affiliated broker-dealer or bank · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address