DFX Intelligence
RIA Intelligence
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Registered advisor
A•••• J•••• D•••••
Feed of 09/14/2026
At current firm
9 y
since Jul 18, 2017
In the industry
24 y
since Aug 2, 2002 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 18, 2017 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedAug 28, 2012 to Oct 13, 2015 · Independence, Ky
- H••••••••• F•••••••• A••••••• BD affiliatedJun 21, 2010 to Aug 27, 2012 · Florence, Ky
- P•• W••••• M••••••••• BD affiliatedJan 22, 2010 to Jun 7, 2010 · Alexandria, Ky
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Oct 13, 2015, registered Jul 18, 2017 (644 days) · Other
- H••••••••• F•••••••• A••••••• to F•••• T•••• S••••••••• I•••left Aug 27, 2012, registered Aug 28, 2012 (1 days) · Other
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Jun 7, 2010, registered Jun 21, 2010 (14 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address