DFX Intelligence
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Registered advisor
T••••••• P• R••••
Feed of 09/14/2026
Also filed as T••••••• P• R••••
At current firm
2 y
since Aug 22, 2024
In the industry
20 y
since Aug 3, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 22, 2024 · Cincinnati, Oh
- M••••• S•••••• wirehouseSep 23, 2013 to Aug 27, 2024 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDJun 18, 2008 to Sep 25, 2013 · Cincinnati, Oh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 17, 2007 to May 30, 2008 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Aug 27, 2024, registered Aug 22, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 25, 2013, registered Sep 23, 2013 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to R•••••• J•••• • A••••••••• I•••left May 30, 2008, registered Jun 18, 2008 (19 days) · Other
Signals
- ••• LockedAug 27, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address