DFX Intelligence
RIA Intelligence
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Registered advisor
W•••••• T•••• R••••••
Feed of 09/14/2026
At current firm
0 y
since Apr 23, 2026
In the industry
11 y
since Aug 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 23, 2026 · Fort Wayne, In
- L•• F•••••••• L•• BD affiliatedNov 1, 2022 to Jun 16, 2025 · Fort Wayne, In
- O•••• I••••••••• I••• BD affiliatedJan 7, 2019 to Jul 26, 2022 · Fort Wayne, In
- W•••• F•••• A••••••• wirehouseJun 7, 2018 to Dec 3, 2018 · Fort Wayne, In
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 16, 2025, registered Apr 23, 2026 (311 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to L•• F•••••••• L••left Jul 26, 2022, registered Nov 1, 2022 (98 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Dec 3, 2018, registered Jan 7, 2019 (35 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- W•••••• T•••• R•••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-04-23)Jun 16, 2025 · Advisor changed firm · fact
- W•••••• T•••• R•••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-01)Jul 26, 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
- 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