DFX Intelligence
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Registered advisor
A•••••• A• C•••
Feed of 09/14/2026
Also filed as A•••••• A• C••••••••• A••••• C••••••••• A• C•••
At current firm
3 y
since May 25, 2023
In the industry
13 y
since Apr 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 25, 2023 · Cincinnati, Oh
- P••• A••••• S••••••••• L•• BD affiliatedNov 28, 2017 to Sep 24, 2018 · Cincinnati, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 29, 2015 to Jul 20, 2017 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 24, 2018, registered May 25, 2023 (1704 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jul 20, 2017, registered Nov 28, 2017 (131 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address