DFX Intelligence
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Registered advisor
T••••• M• B••••
Feed of 09/14/2026
Also filed as T••••• M•••••• B•••••••• B••••
At current firm
0 y
since Dec 7, 2025
In the industry
23 y
since Jun 16, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 7, 2025 · Lone Tree, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 20, 2007 to Mar 4, 2015 · Indianapolis, In
- T• A••••••••• I••• formerJun 20, 2007 to Mar 4, 2015 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Jun 21, 2007 · Indianapolis, In
- B••• O•• S••••••••• C••••••••• unclassifiedApr 19, 2005 to Jul 6, 2005 · Indianapolis, In
- W•••••• • R••• formerSep 3, 2003 to Aug 20, 2004 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 4, 2015, registered Dec 7, 2025 (3931 days) · Other
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 4, 2015, registered Dec 7, 2025 (3931 days) · Other
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 21, 2007, registered Jun 20, 2007 (-1 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to B••• O•• S••••••••• C•••••••••left Aug 20, 2004, registered Apr 19, 2005 (242 days) · Other
Signals
No dated event on this person.
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address