DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• T•••• M•••
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
15 y
since Dec 3, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Hastings, Mi
- P•••• S••••••••• L•• no RAUMDec 15, 2015 to Nov 14, 2024 · Troy, Mi
- I••••••••• P••••••••• I••• formerNov 14, 2013 to Jul 17, 2015 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerMar 21, 2012 to Mar 19, 2013 · San Antonio, Tx
- E••••• J•••• national BDDec 16, 2010 to Jan 4, 2012 · Kalamazoo, Mi
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
- I••••••••• P••••••••• I••• to P•••• S••••••••• L••left Jul 17, 2015, registered Dec 15, 2015 (151 days) · Other
- E••••• J•••• to I••••••••• P••••••••• I•••left Jan 4, 2012, registered Mar 21, 2012 (77 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address