DFX Intelligence
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Registered advisor
N••••• M••• C••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Feb 8, 2021
In the industry
25 y
since Mar 17, 2001 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 8, 2021 · Troy, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 4, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 21, 2012 to Jul 13, 2018 · Beavercreek, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedMay 6, 2010 to Oct 11, 2012 · Spencerville, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 26, 2009 to Oct 8, 2009 · Lima, Oh
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••• I••••••••• A••••••• L••left May 4, 2020, registered Feb 8, 2021 (280 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- H••••••••• F•••••••• A••••••• to S•••••••• A••••••• L••left Oct 11, 2012, registered Nov 21, 2012 (41 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H••••••••• F•••••••• A•••••••left Oct 8, 2009, registered May 6, 2010 (210 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address