DFX Intelligence
RIA Intelligence
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Registered advisor
E••• D•••• S•••••••••
Feed of 09/14/2026
At current firm
10 y
since Mar 10, 2016
In the industry
25 y
since Aug 30, 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 10, 2016 · Columbus, Oh
- N••••••••• S••••••••• L•• no RAUMSep 17, 2012 to Mar 21, 2016 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedDec 4, 2003 to Aug 1, 2012 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Mar 21, 2016, registered Mar 10, 2016 (-11 days) · corporate re-registration, not a move
- H••••••••• F•••••••• A••••••• to N••••••••• S••••••••• L••left Aug 1, 2012, registered Sep 17, 2012 (47 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