DFX Intelligence
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Registered advisor
A••••••• S• R•••••••••
Feed of 09/14/2026
Also filed as A••••••• R••••••••• S•••••••• R••••••••• S• R••••••••• R••••••••• S••••••• R•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
9 y
since Oct 1, 2016 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bloomington, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 3, 2022 to Mar 31, 2025 · Bloomington, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 29, 2021 to Apr 25, 2022 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 29, 2019 to Apr 14, 2021 · Bloomington, Mn
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 25, 2022, registered Jun 3, 2022 (39 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 14, 2021, registered Jun 29, 2021 (76 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 25, 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
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address