DFX Intelligence
RIA Intelligence
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Registered advisor
R••• N••• E•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Feb 2, 2021
In the industry
22 y
since Feb 1, 2004 (earliest exam, job or registration)
Prior registered firms
2
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
- M•••••• BD affiliated currentsince Feb 2, 2021 · Bellevue, Wa
- M••••• F•••••••• G••••• L•• formerFeb 13, 2009 to Mar 22, 2019 · New Albany, In
- P•••• S••••••••• L•• no RAUMJan 19, 2005 to Feb 17, 2009 · New Albany, In
Moves
a registration end followed by a registration begin elsewhere
- M••••• F•••••••• G••••• L•• to M••••••left Mar 22, 2019, registered Feb 2, 2021 (683 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P•••• S••••••••• L•• to M••••• F•••••••• G••••• L••left Feb 17, 2009, registered Feb 13, 2009 (-4 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address