DFX Intelligence

RIA Intelligence

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Registered advisor

P•••••• L•• T••••••••

T•••••••• W••••• M••••••••• L••independent RIALima, OhIA-onlyIAPD 449772

Feed of 09/14/2026

At current firm

3 y

since Mar 1, 2023

In the industry

42 y

since Mar 20, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•••••••• W••••• M••••••••• L•• independent RIA current
since Mar 1, 2023 · Lima, Oh
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 29, 2011 to Jul 8, 2022 · Lima, Oh
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Jul 29, 2011 · Lima, Oh
A• G• E•••••• • S•••• I••• unclassified
Jun 2, 1999 to Jan 1, 2008 · Lima, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to T•••••••• W••••• M••••••••• L••
left Jul 8, 2022, registered Mar 1, 2023 (236 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 29, 2011, registered Jul 29, 2011 (0 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

P•••••• L•• T•••••••• left S•••••• N••••••• • C••••••• I••••••••• for T•••••••• W••••• M••••••••• L•• (registered 2023-03-01)
Jul 8, 2022 · Advisor changed firm · fact

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: Independent wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address