DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• C•••••
Feed of 09/14/2026
Also filed as S•••• D C•••••
At current firm
2 y
since Jun 21, 2024
In the industry
14 y
since May 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 21, 2024 · Louisville, Ky
- M•••••• BD affiliatedFeb 1, 2019 to Apr 18, 2019 · New Albany, In
- M••••• F•••••••• G••••• L•• formerJun 22, 2018 to Mar 22, 2019 · New Albany, In
Moves
a registration end followed by a registration begin elsewhere
- M•••••• to J••• M••••• S••••••••• L••left Apr 18, 2019, registered Jun 21, 2024 (1891 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• F•••••••• G••••• L•• to M••••••left Mar 22, 2019, registered Feb 1, 2019 (-49 days) · RIA to RIA · 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address