DFX Intelligence
RIA Intelligence
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Registered advisor
E••••• Z•••••••
Feed of 09/15/2026
At current firm
3 y
since Jun 6, 2023
In the industry
14 y
since Jun 1, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 6, 2023 · Cleveland, Oh
- C••••• A•••••• N••••••• L•• formerJan 13, 2020 to Jun 5, 2023 · Westlake, Oh
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 20, 2019 to Jan 16, 2020 · Independence, Oh
- F•••••••• A••••••• S•••••••• L•• formerApr 5, 2019 to Jun 24, 2019 · Independence, Oh
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 5, 2023, registered Jun 6, 2023 (1 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••••• A•••••• N••••••• L••left Jan 16, 2020, registered Jan 13, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 24, 2019, registered Jun 20, 2019 (-4 days) · corporate re-registration, not a move
Signals
- E••••• Z••••••• left C••••• A•••••• N••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-06-06)Jun 5, 2023 · a•••••• firm change · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address