DFX Intelligence
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Registered advisor
A••• B•••••
Feed of 09/15/2026
Also filed as A••• B••••••••• M•••••• B•••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rocky River, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 26, 2021 to Mar 31, 2025 · Woodmere Village, Oh
- C••••••• S••••••••• I••• BD affiliatedMar 5, 2019 to May 1, 2020 · Fairlawn, Oh
- P•• W••••• M••••••••• BD affiliatedSep 14, 2017 to Feb 27, 2018 · Charlotte, Nc
- F••••• I••••••••• independent RIAApr 18, 2017 to Jul 13, 2017 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 1, 2020, registered Aug 26, 2021 (482 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left Feb 27, 2018, registered Mar 5, 2019 (371 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to P•• W••••• M•••••••••left Jul 13, 2017, registered Sep 14, 2017 (63 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address