DFX Intelligence
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Registered advisor
B•••• T••••• A•••••••
Feed of 09/14/2026
At current firm
4 y
since Jan 27, 2022
In the industry
25 y
since Jun 29, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 27, 2022 · Orange Village, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 8, 2010 to Sep 7, 2023 · Beachwood, Oh
- T• A••••••••• I••• formerMar 8, 2010 to Oct 14, 2022 · Orange Village, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Feb 8, 2010 · Strongsville, Oh
- N•••••• I••••••••• I••• unclassifiedAug 8, 2006 to Nov 13, 2009 · Strongsville, Oh
- C•••••• S••••• • C••• I••• national BDMar 4, 2004 to May 22, 2006 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 27, 2022 (-588 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 8, 2010 (-4603 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to T• A••••••••• I•••left Feb 8, 2010, registered Mar 8, 2010 (28 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to N•••••• I••••••••• I•••left May 22, 2006, registered Aug 8, 2006 (78 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address