DFX Intelligence
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Registered advisor
S••••• L•• L•••
Feed of 09/15/2026
Also filed as S••••• • S•••• L•• D••••••••• • S•••• L•• W••••••••• L• L•••
At current firm
7 y
since Aug 30, 2019
In the industry
22 y
since Aug 27, 2004 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 30, 2019 · Miamisburg, Oh
- W•••• F•••• A••••••• wirehouseJul 14, 2014 to Sep 3, 2019 · Miamisburg, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Dayton, Oh
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Dayton, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedAug 27, 2004 to Sep 27, 2006 · Dayton, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 3, 2019, registered Aug 30, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 15, 2012, registered Jul 14, 2014 (790 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
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
- 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