DFX Intelligence
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Registered advisor
W•••••• M•••••••
Feed of 09/14/2026
At current firm
18 y
since Apr 7, 2008
In the industry
36 y
since Feb 1, 1990 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- V•••••• A•••••••• I••• BD affiliated currentsince Apr 7, 2008 · Cleveland, Oh
- N•• E•••••• S••••••••• C••••••••• formerNov 12, 2002 to Apr 1, 2008 · Highland Hills, Oh
Moves
a registration end followed by a registration begin elsewhere
- N•• E•••••• S••••••••• C••••••••• to V•••••• A•••••••• I•••left Apr 1, 2008, registered Apr 7, 2008 (6 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address