DFX Intelligence
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Registered advisor
N••••••• S•••••••
Feed of 09/14/2026
Also filed as N••••••• E••••• M••••••••• E• M•••••
At current firm
1 y
since Apr 4, 2025
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 4, 2025 · Savage, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDOct 4, 2022 to Mar 17, 2025 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Mar 17, 2025, registered Apr 4, 2025 (18 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedMar 17, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address