DFX Intelligence
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Registered advisor
M•••••• C•••• D••••••
Feed of 09/15/2026
Also filed as M•••••• C• D••••••••• D••••••
At current firm
4 y
since Jan 13, 2022
In the industry
34 y
since Jun 15, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jan 13, 2022 · Toledo, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 14, 2011 to Jan 14, 2022 · Toledo, Oh
- E••••• J•••• national BDFeb 17, 2006 to Dec 15, 2011 · Toledo, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedNov 18, 2005 to Jan 20, 2006 · Toledo, Oh
- U•• F•••••••• S••••••• I••• wirehouseAug 18, 1999 to May 12, 2005 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jan 14, 2022, registered Jan 13, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 15, 2011, registered Dec 14, 2011 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• T•••• S••••••••• I••• to E••••• J••••left Jan 20, 2006, registered Feb 17, 2006 (28 days) · Other
- U•• F•••••••• S••••••• I••• to F•••• T•••• S••••••••• I•••left May 12, 2005, registered Nov 18, 2005 (190 days) · Other
Signals
- ••• LockedJan 14, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address