DFX Intelligence
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Registered advisor
S••••• D•••• V•••
Feed of 09/15/2026
At current firm
10 y
since Mar 29, 2016
In the industry
27 y
since Jul 14, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Mar 29, 2016 · Brooklyn, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedOct 16, 2014 to Mar 24, 2016 · Canton, Oh
- P•• W••••• M••••••••• BD affiliatedOct 28, 2013 to Oct 1, 2014 · Massillon, Oh
- F••••••••• A•••••••• I••• unclassifiedApr 29, 2013 to May 17, 2013 · Akron, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedMay 10, 2007 to Apr 25, 2013 · Canton, Oh
- E••••• J•••• national BDJan 3, 2007 to May 7, 2007 · Stow, Oh
- N•••••• I••••••••• I••• unclassifiedApr 15, 2002 to Jun 12, 2006 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- H••••••••• F•••••••• A••••••• to K•• I••••••••• S••••••• L••left Mar 24, 2016, registered Mar 29, 2016 (5 days) · Other
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Oct 1, 2014, registered Oct 16, 2014 (15 days) · Other
- F••••••••• A•••••••• I••• to P•• W••••• M•••••••••left May 17, 2013, registered Oct 28, 2013 (164 days) · Other
- K•• I••••••••• S••••••• L•• to F••••••••• A•••••••• I•••left Apr 25, 2013, registered Apr 29, 2013 (4 days) · Other
- E••••• J•••• to K•• I••••••••• S••••••• L••left May 7, 2007, registered May 10, 2007 (3 days) · Other
- N•••••• I••••••••• I••• to E••••• J••••left Jun 12, 2006, registered Jan 3, 2007 (205 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address