DFX Intelligence
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K••• M••••••• M•••••••••
Certified Financial Planner · Chartered Financial Consultant
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 30 y
- Prior registered firms
- 5
- Signals
- 1
since Aug 22, 2024
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 22, 2024 · Cincinnati, Oh
- M••••• S•••••• wirehouseSep 23, 2013 to Aug 27, 2024 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDJun 3, 2008 to Sep 25, 2013 · Cincinnati, Oh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 30, 2003 to May 30, 2008 · Cincinnati, Oh
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedJan 14, 2003 to Apr 30, 2007 · Milwaukee, Wi
- N•••••• P••••••• A•••••••• L••••• unclassifiedMar 28, 2002 to Jan 30, 2006 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Aug 27, 2024, registered Aug 22, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 25, 2013, registered Sep 23, 2013 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to R•••••• J•••• • A••••••••• I•••left May 30, 2008, registered Jun 3, 2008 (4 days) · Other
- N••••••••• M••••• W••••• M••••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 30, 2007, registered Jan 30, 2003 (-1551 days) · corporate re-registration, not a move
- N•••••• P••••••• A•••••••• L••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Jan 30, 2006, registered Jan 14, 2003 (-1112 days) · Other
Signals
- ••• LockedAug 27, 2024 · 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote