DFX Intelligence
RIA Intelligence
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Registered advisor
C•••• D••••• S•••••
Feed of 09/14/2026
At current firm
3 y
since Apr 28, 2023
In the industry
19 y
since May 10, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• F••••••••• L•• BD affiliated currentsince Apr 28, 2023 · Farmington Hills, Mi
- W•••• F•••• A••••••• wirehouseJul 29, 2011 to May 15, 2023 · Northville, Mi
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 2010 to Aug 11, 2011 · Farmington Hills, Mi
- U•• F•••••••• S••••••• I••• wirehouseMay 14, 2007 to Jul 6, 2010 · Weehawken, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S••••• F••••••••• L••left May 15, 2023, registered Apr 28, 2023 (-17 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 11, 2011, registered Jul 29, 2011 (-13 days) · Wirehouse to wirehouse
Signals
- C•••• D••••• S••••• left W•••• F•••• A••••••• for S••••• F••••••••• L•• (registered 2023-04-28)May 15, 2023 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address