DFX Intelligence
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Registered advisor
I•••• D•••••
Feed of 09/14/2026
Also filed as E•• D••••••••• D•••••
At current firm
8 y
since Oct 26, 2017
In the industry
17 y
since Aug 20, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 26, 2017 · Hudson, Oh
- P•• W••••• M••••••••• BD affiliatedApr 29, 2013 to Oct 24, 2017 · Parma, Oh
- E••••• J•••• national BDAug 26, 2009 to Apr 23, 2013 · Broadview Heights, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Oct 24, 2017, registered Oct 26, 2017 (2 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Apr 23, 2013, registered Apr 29, 2013 (6 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address