DFX Intelligence
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Registered advisor
T•••••• A• F••••••
Feed of 09/14/2026
Also filed as T•••••• F••••••••• A•••• F••••••••• A• F••••••••• F••••••
At current firm
12 y
since Jul 11, 2014
In the industry
24 y
since Dec 1, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jul 11, 2014 · Cincinnati, Oh
- E•••• S••••••••• L•• BD affiliatedNov 20, 2012 to Jun 3, 2014 · Dayton, Oh
- I••••••••• A••••••• I••••••••• I••• unclassifiedApr 30, 2008 to Dec 9, 2008 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 15, 2005 to Feb 15, 2008 · Greenville, Oh
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jun 3, 2014, registered Jul 11, 2014 (38 days) · Other
- I••••••••• A••••••• I••••••••• I••• to E•••• S••••••••• L••left Dec 9, 2008, registered Nov 20, 2012 (1442 days) · Other
- F•••• T•••• S••••••••• I••• to I••••••••• A••••••• I••••••••• I•••left Feb 15, 2008, registered Apr 30, 2008 (75 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address