DFX Intelligence
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Registered advisor
S••••• D•• P•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••••• M••••••• D••••••••• D•• W••••••••• M••••••• W••••••••• M••••••• D••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P••••••••• D•• P•••••
At current firm
4 y
since Sep 13, 2022
In the industry
28 y
since Nov 17, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- M•• C•••••• M••••••••• L•• independent RIA currentsince Sep 13, 2022 · Cleveland, Oh
- P•• W••••• M••••••••• BD affiliatedOct 2, 2012 to Oct 16, 2013 · Cleveland, Oh
- U••• B•••••• I••••••••• I••• formerFeb 13, 2006 to Jul 10, 2007 · Saint Paul, Mn
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 15, 2005 to Sep 30, 2005 · Cleveland, Oh
- M••••• S•••••• D• I••• unclassifiedNov 2, 1999 to Aug 12, 2004 · Chagrin Flls, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to M•• C•••••• M••••••••• L••left Oct 16, 2013, registered Sep 13, 2022 (3254 days) · Other
- U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••left Jul 10, 2007, registered Oct 2, 2012 (1911 days) · Other
- F•••• T•••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Sep 30, 2005, registered Feb 13, 2006 (136 days) · Other
- M••••• S•••••• D• I••• to F•••• T•••• S••••••••• I•••left Aug 12, 2004, registered Feb 15, 2005 (187 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address