DFX Intelligence
RIA Intelligence
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Registered advisor
R••• T• C••••••
Certified Financial Planner
Feed of 09/17/2026
Also filed as R••• T• C••••••
At current firm
7 y
since Aug 22, 2019
In the industry
17 y
since Jun 22, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 29, 2026 · Dublin, Oh
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Aug 22, 2019 · Powell, Oh
- S••••••••• A•••••• A•••••••• I••• formerAug 20, 2018 to Aug 12, 2019 · Dublin, Oh
- W•••• F•••• A••••••• wirehouseJan 22, 2016 to May 7, 2018 · Dublin, Oh
- M••••• S•••••• wirehouseJun 21, 2012 to Feb 2, 2016 · Dublin, Oh
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to H••••••••• F•••••••• A•••••••left Aug 12, 2019, registered Aug 22, 2019 (10 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left May 7, 2018, registered Aug 20, 2018 (105 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 2, 2016, registered Jan 22, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address