DFX Intelligence
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Registered advisor
C••••• W• W••••
Feed of 09/14/2026
Also filed as C••••• W•••• W••••
At current firm
0 y
since Mar 16, 2026
In the industry
12 y
since Aug 1, 2014 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 16, 2026 · Minneapolis, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 23, 2024 to Feb 3, 2025 · Minnetonka, Mn
- E•••••••• A•••••••• L•• national BDMay 16, 2024 to May 29, 2024 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to S•••••••• A••••••• L••left Feb 3, 2025, registered Mar 16, 2026 (406 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left May 29, 2024, registered Jul 23, 2024 (55 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedFeb 3, 2025 · Advisor changed firm · fact
- ••• LockedMay 29, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address