DFX Intelligence
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Registered advisor
A•••••• A••••• A••••
Feed of 09/14/2026
Also filed as A•••••• A••••
At current firm
3 y
since Jun 29, 2023
In the industry
34 y
since Jan 29, 1992 (earliest exam, job or registration)
Prior registered firms
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Mason, Oh
- W•••• F•••• A••••••• wirehouseNov 30, 2007 to May 24, 2021 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 1999 to Dec 3, 2007 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left May 24, 2021, registered Jun 29, 2023 (766 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 3, 2007, registered Nov 30, 2007 (-3 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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