DFX Intelligence
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Registered advisor
S•••• L• S•••••••••
Feed of 09/14/2026
Also filed as S•••• S••••••••• L• S••••••••• L• S••••••••• L• S•••••• M•••••••
At current firm
7 y
since Oct 25, 2018
In the industry
18 y
since Dec 26, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- M••••• S•••••• wirehouse currentsince Oct 25, 2018 · Beavercreek, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 11, 2011 · Dublin, Oh
- M••••• S•••••• • C•• L•• unclassifiedFeb 6, 2009 to Jun 1, 2009 · Dublin, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 7, 2008 to Dec 23, 2008 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Dec 23, 2008, registered Feb 6, 2009 (45 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address