DFX Intelligence
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Feed of 09/14/2026
Also filed as B••••••• S•••••• T••••••••• O•••••
At current firm
10 y
since Nov 4, 2015
In the industry
14 y
since May 22, 2012 (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
- M••••• S•••••• wirehouse currentsince Nov 4, 2015 · Toledo, Oh
- W•••• F•••• A••••••• wirehouseApr 29, 2013 to Sep 18, 2015 · Cincinnati, Oh
- I••••• F•••••••• C••••••••• formerJun 1, 2012 to Apr 30, 2013 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Sep 18, 2015, registered Nov 4, 2015 (47 days) · Wirehouse to wirehouse
- I••••• F•••••••• C••••••••• to W•••• F•••• A•••••••left Apr 30, 2013, registered Apr 29, 2013 (-1 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address