DFX Intelligence
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Feed of 09/15/2026
At current firm
17 y
since Jun 18, 2009
In the industry
27 y
since Jun 28, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince Jun 18, 2009 · Indianapolis, In
- C••• B•••••••• S•••••••• I••• formerOct 2, 2008 to Jun 17, 2009 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDJan 19, 2001 to Oct 1, 2008 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 17, 2009, registered Jun 18, 2009 (1 days) · Other
- C•••••• S••••• • C••• I••• to C••• B•••••••• S•••••••• I•••left Oct 1, 2008, registered Oct 2, 2008 (1 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address