DFX Intelligence
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Registered advisor
A•••••• A••••• L••••••
Feed of 09/14/2026
Also filed as T••• A••••• L••••••
At current firm
1 y
since Mar 24, 2025
In the industry
22 y
since Oct 27, 2003 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• R•••• A••••••••• L•• state registered currentsince Mar 24, 2025 · Canton, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDOct 27, 2003 to Mar 14, 2025 · Westlake, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••• R•••• A••••••••• L••left Mar 14, 2025, registered Mar 24, 2025 (10 days) · Affiliated broker-dealer or bank to a state-registered adviser
Signals
- ••• LockedMar 14, 2025 · 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address