DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• J•••• S•••••••••
Feed of 09/15/2026
At current firm
10 y
since May 31, 2016
In the industry
19 y
since May 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince May 31, 2016 · Little Suamico, Wi
- P•••• S••••••••• L•• no RAUMMay 8, 2014 to Apr 11, 2016 · Wauwatosa, Wi
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to P••••••••• B•••••••• S•••••••• I•••left Apr 11, 2016, registered May 31, 2016 (50 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address