DFX Intelligence
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Registered advisor
L••••••• E••••• D•••••
Feed of 09/14/2026
Also filed as L•••• D••••••••• D••••••••• E••••• D•••••
At current firm
8 y
since Apr 30, 2018
In the industry
34 y
since Nov 13, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Apr 30, 2018 · Independence, Oh
- O•••• F•• I••• formerDec 19, 2016 to Jan 11, 2018 · Orange Village, Oh
- L•• F•••••••• L•• BD affiliatedMay 3, 2001 to Jun 2, 2011 · Westlake, Oh
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to V•••• F•••••••• A•••••••• I•••left Jan 11, 2018, registered Apr 30, 2018 (109 days) · Other
- L•• F•••••••• L•• to O•••• F•• I•••left Jun 2, 2011, registered Dec 19, 2016 (2027 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address