DFX Intelligence
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M•••••• D•••• H••••••
As of · the IAPD feed
- At current firm
- 1 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 14, 2024
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Cincinnati, Oh
- P•••• S••••••••• L•• no RAUMDec 8, 2020 to Nov 14, 2024 · Cleves, Oh
- P•••• S••••••••• L•• no RAUMApr 29, 2010 to Jul 16, 2020 · Cincinnati, Oh
- P•••• S••••••••• L•• no RAUMMay 22, 2007 to Apr 20, 2010 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address