DFX Intelligence
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Registered advisor
S•••• A• W•••
Feed of 09/14/2026
Also filed as S•••• A• W••••••••• A••• W••••••••• W•••
At current firm
9 y
since Feb 3, 2017
In the industry
22 y
since Nov 17, 2003 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 3, 2017 · Pepper Pike, Oh
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2009 to Feb 14, 2017 · Pepper Pike, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 17, 2003 to Jan 30, 2009 · Chagrin Falls, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 14, 2017, registered Feb 3, 2017 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 30, 2009, registered Jan 29, 2009 (-1 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address