DFX Intelligence
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Feed of 09/14/2026
Also filed as K••• A••••••••• M•••• A••••••••
At current firm
14 y
since Jan 17, 2012
In the industry
27 y
since Jul 1, 1999 (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
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
- M••••• S•••••• wirehouse currentsince Jan 17, 2012 · Hudson, Oh
- U•• F•••••••• S••••••• I••• wirehouseJun 16, 2006 to Jan 23, 2012 · Akron, Oh
- C••••• A••••••• L•• formerJan 1, 2004 to Aug 11, 2005 · Hudson, Oh
- V••••• S••••••••• C••••••••• unclassifiedJan 1, 2000 to Jan 1, 2004 · Hudson, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jan 23, 2012, registered Jan 17, 2012 (-6 days) · Wirehouse to wirehouse
- C••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 11, 2005, registered Jun 16, 2006 (309 days) · Other
- V••••• S••••••••• C••••••••• to C••••• A••••••• L••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address