DFX Intelligence
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Registered advisor
A••••• C•••••••• W•••• M•••••
Feed of 09/15/2026
Also filed as A••••• C•••••••• W••••••••• C•••••••• P•••••
At current firm
4 y
since Jan 6, 2022
In the industry
15 y
since Jan 12, 2011 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Jan 6, 2022 · Latrobe, Pa
- O•••• I••••••••• I••• BD affiliatedApr 16, 2018 to Nov 1, 2021 · New Alexandria, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Apr 6, 2018 · Mt Pleasant, Pa
- L•• F•••••••• L•• BD affiliatedAug 4, 2015 to Sep 21, 2016 · Connellsville, Pa
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to O•••• I••••••••• I•••left Apr 6, 2018, registered Apr 16, 2018 (10 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
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