DFX Intelligence
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Registered advisor
R••••• B• O••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••• O••••••••• B••••••• O••••
At current firm
7 y
since Nov 2, 2018
In the industry
36 y
since Nov 2, 1989 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Fort Wayne, In
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Fort Wayne, In
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 21, 2009 to May 13, 2016 · Fort Wayne, In
- P•••••••• S••••••••• I••• BD affiliatedNov 6, 2007 to Apr 20, 2009 · Fort Wayne, In
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 15, 1999 to Oct 31, 2007 · Fremont, In
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Apr 20, 2009, registered Apr 21, 2009 (1 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Oct 31, 2007, registered Nov 6, 2007 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address