DFX Intelligence
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Registered advisor
B•••• M• L••••••
Feed of 09/15/2026
At current firm
2 y
since Aug 27, 2024
In the industry
22 y
since Oct 4, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Aug 27, 2024 · Youngstown, Oh
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Aug 29, 2024 · Youngstown, Oh
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Sep 1, 2023 · Youngstown, Oh
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedAug 17, 2006 to Oct 31, 2008 · Poland, Oh
- N•• E•••••• S••••••••• C••••••••• formerSep 24, 2004 to Jul 24, 2006 · Canfield, Oh
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Aug 29, 2024, registered Aug 27, 2024 (-2 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to A••••••• G•••••• S••••••••• I•••••••••left Jul 24, 2006, registered Aug 17, 2006 (24 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address