DFX Intelligence
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Registered advisor
C•••• D••••• L• C•••••
Feed of 09/14/2026
Also filed as C•••• D••••• L•••••••
At current firm
16 y
since May 26, 2010
In the industry
21 y
since Jan 3, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince May 26, 2010 · Cincinnati, Oh
- C•••• I••••••••• S••••••• C•••• formerOct 29, 2009 to May 24, 2010 · Charleston, Wv
- F•••• T•••• S••••••••• I••• BD affiliatedSep 17, 2008 to Oct 13, 2009 · Cincinnati, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2005 to Sep 10, 2008 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••left May 24, 2010, registered May 26, 2010 (2 days) · Other
- F•••• T•••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Oct 13, 2009, registered Oct 29, 2009 (16 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••left Sep 10, 2008, registered Sep 17, 2008 (7 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address