DFX Intelligence
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Registered advisor
S•••• G•••••••• D•••••••
Feed of 09/14/2026
Also filed as S•••• G•••••••• K••••••••• D•••••••
At current firm
3 y
since Jan 25, 2023
In the industry
14 y
since Jun 1, 2012 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jan 25, 2023 · Olmsted Twp, Oh
- W•••• F•••• A••••••• wirehouseJun 27, 2018 to May 16, 2022 · Cleveland, Oh
- W•••• F•••• A••••••• wirehouseMar 27, 2017 to Oct 26, 2017 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E•••••••• A•••••••• L••left May 16, 2022, registered Jan 25, 2023 (254 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMay 16, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address