DFX Intelligence
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Registered advisor
R••• R••••• K••••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseChagrin Falls, Ohdual registrantIAPD 5318792
Feed of 09/14/2026
Also filed as R••• R• K••••••••• K••••••••• R••••• K••••••••
At current firm
15 y
since Jan 19, 2011
In the industry
19 y
since Jul 7, 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
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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 19, 2011 · Chagrin Falls, Oh
- R••••• W• B•••• • C•• I••••••••• mixed wealthApr 5, 2010 to Jan 24, 2011 · Cleveland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2008 to Apr 5, 2010 · North Olmsted, Oh
- M••••• S•••••• • C•• L•• unclassifiedJul 9, 2007 to Nov 20, 2007 · Westlake, Oh
Moves
a registration end followed by a registration begin elsewhere
- R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 24, 2011, registered Jan 19, 2011 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••• W• B•••• • C•• I•••••••••left Apr 5, 2010, registered Apr 5, 2010 (0 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2007, registered Jan 3, 2008 (44 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address