DFX Intelligence
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Registered advisor
C••••••••• R• W•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••• W••••••••• R•••••• W•••
At current firm
5 y
since Mar 4, 2021
In the industry
21 y
since Aug 18, 2005 (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
S63, 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
- E••••••••• W••••• M••••••••• state registered currentsince Mar 4, 2021 · Cincinnati, Oh
- C•••••• S••••• • C••• I••• national BDNov 1, 2012 to Sep 24, 2020 · Cincinnati, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 16, 2008 to Oct 26, 2012 · Cincinnati, Oh
- T• A••••••••• I••• formerJul 16, 2008 to Oct 26, 2012 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDJul 13, 2007 to Jul 17, 2008 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••••••• W••••• M•••••••••left Sep 24, 2020, registered Mar 4, 2021 (161 days) · Affiliated broker-dealer or bank to a state-registered adviser
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 26, 2012, registered Jul 16, 2008 (-1563 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 26, 2012, registered Nov 1, 2012 (6 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jul 17, 2008, registered Jul 16, 2008 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address