DFX Intelligence
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Registered advisor
T•••• M•••• M••••
Feed of 09/14/2026
Also filed as T•••• M••••••••• M••••••••• M• M•••••• M••••
At current firm
4 y
since Sep 19, 2022
In the industry
12 y
since Nov 7, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Sep 19, 2022 · Westlake, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 15, 2019 to Aug 10, 2022 · Florence, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 28, 2018 to Apr 16, 2019 · Cincinnati, Oh
- C••••• A••••••• L•• formerMar 24, 2017 to Jul 2, 2018 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to C•••••• S••••• • C••• I•••left Aug 10, 2022, registered Sep 19, 2022 (40 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 16, 2019, registered Oct 15, 2019 (182 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2018, registered Aug 28, 2018 (57 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedAug 10, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address