DFX Intelligence
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Registered advisor
D••••• P••• M•••••••
F••••• F•••••••• W••••• M••••••••• G••••• L••independent RIACincinnati, Ohdual registrantIAPD 2940858
Feed of 09/14/2026
Also filed as D•••• M•••••••
At current firm
8 y
since Jan 19, 2018
In the industry
28 y
since Oct 21, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- F••••• F•••••••• W••••• M••••••••• G••••• L•• independent RIA currentsince Jan 19, 2018 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseMay 20, 2016 to Feb 8, 2018 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseDec 5, 2005 to May 20, 2016 · Cincinnati, Oh
- A•••••• I••• unclassifiedNov 10, 1999 to Dec 20, 2005 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to F••••• F•••••••• W••••• M••••••••• G••••• L••left Feb 8, 2018, registered Jan 19, 2018 (-20 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 20, 2016, registered May 20, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- A•••••• I••• to W•••• F•••• A•••••••left Dec 20, 2005, registered Dec 5, 2005 (-15 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address