DFX Intelligence
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Registered advisor
D••••• P•••• B••••
Feed of 09/15/2026
At current firm
11 y
since May 1, 2015
In the industry
36 y
since Nov 16, 1989 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
8
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 1, 2015 · Beachwood, Oh
- U•• F•••••••• S••••••• I••• wirehouseJan 23, 2009 to May 11, 2015 · Pepper Pike, Oh
- R•••••• J•••• • A••••••••• I••• national BDJan 6, 2004 to Jan 28, 2009 · Chagrin Falls, Oh
- A•••••• I••• unclassifiedNov 10, 1999 to Jan 26, 2004 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 11, 2015, registered May 1, 2015 (-10 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 28, 2009, registered Jan 23, 2009 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 26, 2004, registered Jan 6, 2004 (-20 days) · Other
Signals
- ••• LockedApr 2, 2026 · Owner of a newly registered adviser · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address