DFX Intelligence
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Registered advisor
T•••••• M•••••• M•••••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as T•••••• M•••••• L••••••• M•
At current firm
4 y
since Nov 23, 2021
In the industry
31 y
since May 23, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 23, 2021 · Grafton, Oh
- W•••• F•••• A••••••• wirehouseOct 6, 2015 to Nov 22, 2021 · Westlake, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Oct 14, 2015 · Westlake, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedMar 19, 2009 to Oct 5, 2009 · Westlake, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 1, 2004 to Apr 2, 2009 · Westlake, Oh
- W•••• F•••• A••••••• wirehouseJan 2, 2003 to Sep 1, 2004 · Amherst Township, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••left Nov 22, 2021, registered Nov 23, 2021 (1 day) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Oct 14, 2015, registered Oct 6, 2015 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Apr 2, 2009, registered Mar 19, 2009 (-14 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Sep 1, 2004, registered Sep 1, 2004 (0 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address