DFX Intelligence
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Registered advisor
R•••••• T••••• C••••
Feed of 09/14/2026
Also filed as R•••••• C••••••••• T••••• C•••• I••••••••• T••••• C•••• I••••••••• T• C••••••••• C••••••••• T••••• C••••••••• T• C••••••••• C••••••••• T• C••••••••• T••••• C••••••••• T• C••••••••• C••••
At current firm
3 y
since May 5, 2023
In the industry
30 y
since Jan 1, 1996 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 5, 2023 · Grand Blanc, Mi
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to May 5, 2023 · Grand Blanc, Mi
- C••••• I••••••••• S••••••• L•• formerJun 25, 2010 to Jan 21, 2014 · Brighton, Mi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 5, 2023, registered May 5, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
Signals
- R•••••• T••••• C•••• left C••••• I••••••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address