DFX Intelligence
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Registered advisor
D•••• M•••••• S••••
Feed of 09/14/2026
Also filed as D•••• S••••••••• M•••••• S••••••••• S••••••••• M• S••••
At current firm
6 y
since Jul 6, 2020
In the industry
11 y
since Jan 1, 2015 (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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 6, 2020 · Miamisburg, Oh
- P•••• S••••••••• L•• no RAUMOct 25, 2017 to Jul 6, 2020 · Cincinnati, Oh
- W•••••• • R••• formerNov 20, 2015 to Oct 23, 2017 · West Chester, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2020, registered Jul 6, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••••• • R••• to P•••• S••••••••• L••left Oct 23, 2017, registered Oct 25, 2017 (2 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address