DFX Intelligence
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Registered advisor
D••••• M•••• S••••
Feed of 09/15/2026
At current firm
3 y
since Sep 30, 2022
In the industry
18 y
since Mar 12, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Sep 30, 2022 · Westlake, Oh
- W•••• F•••• A••••••• wirehouseSep 22, 2014 to Sep 29, 2022 · Westlake, Oh
- P•• W••••• M••••••••• BD affiliatedAug 23, 2012 to Aug 29, 2014 · Cleveland, Oh
- W•••• F•••• A••••••• wirehouseMar 12, 2008 to Jul 30, 2012 · Westlake, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Sep 29, 2022, registered Sep 30, 2022 (1 day) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Aug 29, 2014, registered Sep 22, 2014 (24 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Jul 30, 2012, registered Aug 23, 2012 (24 days) · Other
Signals
- ••• LockedSep 29, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address