DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• D•••• S••••
Feed of 09/15/2026
At current firm
14 y
since Jun 1, 2012
In the industry
40 y
since Sep 1, 1986 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
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
- C•••••• A••••••• BD affiliated currentsince Jun 5, 2012 · Ft Jennings, Oh
- L•••••• I••••••••• independent RIA currentsince Jun 1, 2012 · Ft. Jennings, Oh
- C••••••••• A•••••••• I•• formerSep 12, 2002 to Jun 1, 2012 · Ft. Jennings, Oh
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address