DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as M••• B••••
At current firm
8 y
since Nov 29, 2017
In the industry
11 y
since Feb 17, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Fargo, Nd
- I•• G•••• W••••• M••••••••• L•• formerDec 6, 2021 to Sep 23, 2024 · Denver, Co
- I••••••••• C•••••• O• A••••••• I••• formerDec 7, 2015 to Dec 5, 2017 · Fargo, Nd
Moves
a registration end followed by a registration begin elsewhere
- I•• G•••• W••••• M••••••••• L•• to no registered destinationleft Sep 23, 2024 · Departure, no registered destination
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Dec 5, 2017, registered Nov 29, 2017 (-6 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 23, 2024 · Advisor departure · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address