DFX Intelligence
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D•••• A•• S•••••••••
As of · the IAPD feed; also filed as D•• S•••••••••
- At current firm
- 4 y
- In the industry
- 31 y
- Prior registered firms
- 2
- Signals
- 1
since Jan 18, 2022
As of · the IAPD feed; also filed as D•• S•••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jan 18, 2022 · Toledo, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2008 to Jan 14, 2022 · Toledo, Oh
- U•• F•••••••• S••••••• I••• wirehouseMar 24, 2000 to Nov 24, 2008 · Sylvania, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jan 14, 2022, registered Jan 18, 2022 (4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 24, 2008, registered Nov 13, 2008 (-11 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 14, 2022 · 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote