DFX Intelligence
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Feed of 09/14/2026
At current firm
5 y
since Jun 2, 2021
In the industry
11 y
since Sep 1, 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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 2, 2021 · Waukesha, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 27, 2021 to Apr 15, 2021 · Milwaukee, Wi
- M••••• S•••••• wirehouseDec 18, 2018 to Dec 17, 2020 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••left Apr 15, 2021, registered Jun 2, 2021 (48 days) · Other
- M••••• S•••••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 17, 2020, registered Jan 27, 2021 (41 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address