DFX Intelligence
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Registered advisor
C•••• R•••••••••
Feed of 09/14/2026
Also filed as C•••• M•••• R••••••••• N•• R•••••••••
At current firm
13 y
since Nov 1, 2012
In the industry
29 y
since Jul 9, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- E•••••••• A•••••••• L•• national BD currentsince Nov 1, 2012 · Kenton Hills, Ky
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 9, 2005 to Nov 8, 2012 · Columbus, Oh
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Aug 8, 2005 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedAug 18, 2003 to Jul 6, 2005 · Milford, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2000 to Jul 8, 2003 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Nov 8, 2012, registered Nov 1, 2012 (-7 days) · Other
- C•••• I••••••••• S••••••• C•••• to V•••• F•••••••• A•••••••• I•••left Aug 8, 2005, registered Dec 9, 2005 (123 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O•• S••••••••• C•••••••••left Jul 8, 2003, registered Aug 18, 2003 (41 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address