DFX Intelligence
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Registered advisor
S•••••• C•••••• S•••••••
Feed of 09/14/2026
Also filed as S•••••• C• S••••••••• S•••••••
At current firm
0 y
since Jun 17, 2026
In the industry
12 y
since Aug 1, 2014 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 17, 2026 · Columbus, Oh
- T••••• C•••• W••••• M••••••••• state registeredJul 28, 2025 to Jan 13, 2026 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedOct 11, 2022 to Jul 21, 2025 · Mansfield, Oh
Moves
a registration end followed by a registration begin elsewhere
- T••••• C•••• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jan 13, 2026, registered Jun 17, 2026 (155 days) · Other
- L•• F•••••••• L•• to T••••• C•••• W••••• M•••••••••left Jul 21, 2025, registered Jul 28, 2025 (7 days) · Affiliated broker-dealer or bank to a state-registered adviser
Signals
- ••• LockedJan 13, 2026 · Advisor changed firm · fact
- ••• LockedJul 21, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address