DFX Intelligence
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Registered advisor
L••••• A•• M••••••
Feed of 09/15/2026
Also filed as L••••• A•• M••••••••• A•• M••••••••• A•• M••••••••• A•• H••••••••• A•• S•••••
At current firm
7 y
since Jul 17, 2019
In the industry
29 y
since Apr 4, 1997 (earliest exam, job or registration)
Prior registered firms
3
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 17, 2019 · Cincinnati, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDMay 11, 2017 to Jul 23, 2019 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedJun 1, 2005 to Apr 7, 2017 · Cincinnati, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedJul 11, 1997 to Mar 10, 2005 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jul 23, 2019, registered Jul 17, 2019 (-6 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 7, 2017, registered May 11, 2017 (34 days) · Other
- B••• O•• S••••••••• C••••••••• to F•••• T•••• S••••••••• I•••left Mar 10, 2005, registered Jun 1, 2005 (83 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address