DFX Intelligence
RIA Intelligence
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Registered advisor
E••• S••••• F•••
Certified Financial Planner
Feed of 09/15/2026
At current firm
7 y
since Jun 17, 2019
In the industry
25 y
since Jul 1, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Indianapolis, In
- C••• L•• BD affiliated currentsince Jun 17, 2019 · Indianapolis, In
- C•••••• G•••• • C• I•• formerAug 31, 2007 to Jun 14, 2019 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 16, 2007 to Jul 10, 2007 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- C•••••• G•••• • C• I•• to C••• L••left Jun 14, 2019, registered Jun 17, 2019 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to C•••••• G•••• • C• I••left Jul 10, 2007, registered Aug 31, 2007 (52 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address