DFX Intelligence
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Registered advisor
D•••• A••• V••••
Feed of 09/14/2026
Also filed as D•••• A• V••••••••• A••• V••••••••• V••••••••• A••• V••••••••• A••• A••• V••••
At current firm
12 y
since Jan 31, 2014
In the industry
20 y
since Apr 3, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 31, 2014 · Miamisburg, Oh
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 5, 2012 to Feb 7, 2014 · Cleveland, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedNov 21, 2011 to Sep 4, 2012 · Dayton, Oh
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 4, 2011 to Oct 6, 2011 · Centerville, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedJan 28, 2009 to Jun 25, 2010 · Dayton, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 20, 2006 to Feb 10, 2009 · Dayton, Oh
Moves
a registration end followed by a registration begin elsewhere
- T••••••• I••••••••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left Feb 7, 2014, registered Jan 31, 2014 (-7 days) · Other
- K•• I••••••••• S••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Sep 4, 2012, registered Sep 5, 2012 (1 days) · Other
- A••••••• F•••••••• A•••••••• L•• to K•• I••••••••• S••••••• L••left Oct 6, 2011, registered Nov 21, 2011 (46 days) · Other
- F•••• T•••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jun 25, 2010, registered Apr 4, 2011 (283 days) · Other
- C•••••••• G••••• M•••••• I••• to F•••• T•••• S••••••••• I•••left Feb 10, 2009, registered Jan 28, 2009 (-13 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address