DFX Intelligence
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Registered advisor
L•••• T••• W••••
Certified Financial Planner
Feed of 09/17/2026
At current firm
11 y
since Jul 14, 2015
In the industry
27 y
since Oct 22, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 29, 2026 · Cincinnati, Oh
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Jul 14, 2015 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedApr 3, 2013 to Jul 7, 2015 · Cincinnati, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedJan 18, 2006 to Jan 30, 2013 · Dayton, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedFeb 18, 2005 to Jan 18, 2006 · Florence, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDMar 31, 2004 to Jan 3, 2005 · Dayton, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Jul 7, 2015, registered Jul 14, 2015 (7 days) · Other
- K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left Jan 30, 2013, registered Apr 3, 2013 (63 days) · Other
- K•••••• C•••••• M•••••• I••• to K•• I••••••••• S••••••• L••left Jan 18, 2006, registered Jan 18, 2006 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to K•••••• C•••••• M•••••• I•••left Jan 3, 2005, registered Feb 18, 2005 (46 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