DFX Intelligence
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Registered advisor
B•••• A•••••• C••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Feb 27, 2023
In the industry
17 y
since Aug 26, 2009 (earliest exam, job or registration)
Prior registered firms
6
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
- C••••• P••••••• L•• independent RIA currentsince Feb 27, 2023 · New York, Ny
- C••••• P••••••• O••• L•• institutionalAug 26, 2020 to Apr 21, 2023 · Cincinnati, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 22, 2012 to Sep 1, 2020 · Cincinnati, Oh
- T• A••••••••• I••• formerOct 22, 2012 to Sep 1, 2020 · Cincinnati, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 25, 2012 · Milford, Oh
- C•••• I••••••••• S••••••• C•••• formerFeb 17, 2011 to Oct 1, 2012 · Milford, Oh
- W•••••• • R••• formerAug 26, 2009 to Sep 9, 2010 · West Chester, Oh
Moves
a registration end followed by a registration begin elsewhere
- C••••• P••••••• O••• L•• to C••••• P••••••• L••left Apr 21, 2023, registered Feb 27, 2023 (-53 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 1, 2020, registered Oct 22, 2012 (-2871 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 1, 2020, registered Oct 22, 2012 (-2871 days) · channel change inside one enterprise, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Oct 25, 2012, registered Oct 22, 2012 (-3 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Sep 9, 2010, registered Feb 17, 2011 (161 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address