DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••• P••• C•••••
Feed of 09/14/2026
At current firm
5 y
since Oct 26, 2020
In the industry
41 y
since May 2, 1985 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 26, 2020 · Clarkston, Mi
- O•••• W•••••• I••• BD affiliatedJun 4, 2010 to Oct 28, 2020 · Wixom, Mi
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 22, 1997 to Dec 31, 2004 · Troy, Mi
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 28, 2020, registered Oct 26, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to O•••• W•••••• I•••left Dec 31, 2004, registered Jun 4, 2010 (1981 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address