DFX Intelligence
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Registered advisor
S•••• D•••••• R•••••
Feed of 09/14/2026
At current firm
4 y
since Nov 1, 2021
In the industry
28 y
since Jan 23, 1998 (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
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Perrysburg, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedOct 4, 2004 to Nov 28, 2005 · Toledo, Oh
- N•••••• I••••••••• I••• unclassifiedJan 1, 2000 to Sep 14, 2004 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- H••••••••• F•••••••• A••••••• to A••••••• A••••••• S•••••••• L••left Nov 28, 2005, registered Nov 1, 2021 (5817 days) · Other
- N•••••• I••••••••• I••• to H••••••••• F•••••••• A•••••••left Sep 14, 2004, registered Oct 4, 2004 (20 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address