DFX Intelligence
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Registered advisor
T•••• S•••••• H•••••••
Feed of 09/14/2026
Also filed as T•••• S•••••• C•••••••••
At current firm
11 y
since Dec 19, 2014
In the industry
21 y
since Nov 12, 2004 (earliest exam, job or registration)
Prior registered firms
2
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 19, 2014 · Columbus, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedSep 12, 2012 to Dec 8, 2014 · Piqua, Oh
- U••• B•••••• I••••••••• I••• formerSep 11, 2008 to Jan 29, 2010 · Piqua, Oh
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to J••• M••••• S••••••••• L••left Dec 8, 2014, registered Dec 19, 2014 (11 days) · Other
- U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left Jan 29, 2010, registered Sep 12, 2012 (957 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address