DFX Intelligence
RIA Intelligence
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Registered advisor
C••• R•• R••••••
Feed of 09/14/2026
At current firm
9 y
since Aug 16, 2017
In the industry
25 y
since Dec 12, 2000 (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
S65, 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
- R•••••• C•• A•••••••• L•• state registered currentsince Aug 16, 2017 · Poneto, In
- P••• A••••• S••••••••• L•• BD affiliatedJun 13, 2007 to Aug 4, 2011 · Bluffton, In
- V•••••• A•••••••• I••• BD affiliatedNov 1, 2001 to Sep 24, 2003 · Bluffton, In
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to R•••••• C•• A•••••••• L••left Aug 4, 2011, registered Aug 16, 2017 (2204 days) · Other
- V•••••• A•••••••• I••• to P••• A••••• S••••••••• L••left Sep 24, 2003, registered Jun 13, 2007 (1358 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address