DFX Intelligence
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Registered advisor
B•••• S••• S••••••••
Feed of 09/14/2026
At current firm
10 y
since Jan 22, 2016
In the industry
38 y
since Aug 29, 1988 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jan 22, 2016 · Dublin, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 5, 2016 · Dublin, Oh
- M••••• S•••••• • C•• L•• unclassifiedAug 17, 2007 to Jun 1, 2009 · Dublin, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2001 to Aug 20, 2007 · Upper Arlington, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 5, 2016, registered Jan 22, 2016 (-14 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Aug 20, 2007, registered Aug 17, 2007 (-3 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address