DFX Intelligence
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Registered advisor
A••••• M•••• B•••••••
Feed of 09/22/2026
At current firm
2 y
since Apr 3, 2024
In the industry
13 y
since Jun 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••••• P•••••••• L•• independent RIA currentsince Sep 21, 2026 · Minneapolis, Mn
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Apr 3, 2024 · Madison, Wi
- C•••••• S••••• • C••• I••• national BDSep 19, 2023 to Mar 27, 2024 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M•• I•••••••• S•••••••• L••left Mar 27, 2024, registered Apr 3, 2024 (7 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 27, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address