DFX Intelligence
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Registered advisor
N•••••• M••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N•••••• R• J••••••••• J••••••
At current firm
0 y
since May 5, 2026
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 5, 2026 · Omaha, Ne
- M••••• S•••••• wirehouseAug 18, 2022 to Mar 21, 2024 · Minneapolis, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 2, 2021 to Jul 21, 2022 · Milwaukee, Wi
- R•• C•••••• M••••••• L•• national BDSep 3, 2019 to May 11, 2021 · Seattle, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 24, 2018 to Jul 5, 2019 · Redmond, Wa
- T• A••••••••• I••• formerJul 24, 2018 to Jul 5, 2019 · Redmond, Wa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Mar 21, 2024, registered May 5, 2026 (775 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••left Jul 21, 2022, registered Aug 18, 2022 (28 days) · Other
- R•• C•••••• M••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left May 11, 2021, registered Jul 2, 2021 (52 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 5, 2019, registered Jul 24, 2018 (-346 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 5, 2019, registered Jul 24, 2018 (-346 days) · Other
Signals
- ••• LockedMar 21, 2024 · Advisor changed firm · fact
- ••• LockedJul 21, 2022 · Advisor changed firm · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address