DFX Intelligence
RIA Intelligence
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Registered advisor
T•••• D•••• C••••
Feed of 09/15/2026
At current firm
6 y
since Oct 18, 2019
In the industry
26 y
since Aug 3, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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 Oct 18, 2019 · Miamisburg, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 21, 2019 · Dayton, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 19, 2008 to Jun 1, 2009 · Dayton, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 10, 2000 to Sep 19, 2008 · Miamisburg, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Oct 21, 2019, registered Oct 18, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 19, 2008, registered Sep 19, 2008 (0 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address