DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• T••• B••••
Feed of 09/15/2026
At current firm
10 y
since May 12, 2016
In the industry
25 y
since Jul 26, 2001 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 12, 2016 · Indianapolis, In
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 24, 2016 · Indianapolis, In
- N•• E•••••• S••••••••• C••••••••• formerSep 11, 2003 to Jan 2, 2015 · Muncie, In
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 24, 2016, registered May 12, 2016 (-12 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address