DFX Intelligence
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Registered advisor
L••• M•••••• D•••••• W••••
Feed of 09/14/2026
Also filed as L••• M•••••• D••••••
At current firm
1 y
since May 15, 2025
In the industry
21 y
since Jan 27, 2005 (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
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Kettering, Oh
- C••• F•••••••• S•••••••• L••• formerSep 13, 2019 to May 15, 2025 · Kettering, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDDec 21, 2017 to Mar 27, 2019 · Miamisburg, Oh
- W•••• F•••• A••••••• wirehouseMar 29, 2017 to Jan 4, 2018 · Troy, Oh
- U•• F•••••••• S••••••• I••• wirehouseMar 9, 2012 to Oct 13, 2016 · Cincinnati, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 13, 2011 · Centerville, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 1, 2006 to Jun 1, 2009 · Dayton, Oh
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 27, 2019, registered Sep 13, 2019 (170 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 4, 2018, registered Dec 21, 2017 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 13, 2016, registered Mar 29, 2017 (167 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 13, 2011, registered Mar 9, 2012 (421 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address