DFX Intelligence
RIA Intelligence
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Registered advisor
C••••• D•••••
Feed of 09/14/2026
At current firm
3 y
since Dec 10, 2022
In the industry
12 y
since Jul 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
n/a
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 10, 2022 · Mansfield, Oh
- O•••• I••••••••• I••• BD affiliatedJan 28, 2021 to Dec 9, 2022 · Mansfield, Oh
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to C••••• I••••••••• A••••••• L••left Dec 9, 2022, registered Dec 10, 2022 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- C••••• D••••• left O•••• I••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-12-10)Dec 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address