DFX Intelligence
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Registered advisor
L•••• D••• Q••••
Feed of 09/14/2026
Also filed as L•••• D••• Q••••••••• D• Q••••
At current firm
14 y
since Oct 18, 2011
In the industry
27 y
since Nov 5, 1998 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 18, 2011 · Columbus, Oh
- W••••••• F•••••••• S•••••••• I••• formerOct 2, 2008 to Oct 25, 2011 · Columbus, Oh
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to May 5, 2006 · Columbus, Oh
- M••• S••••••••• C••••••••• unclassifiedDec 7, 1999 to Jun 1, 2005 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 25, 2011, registered Oct 18, 2011 (-7 days) · Other
- E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left May 5, 2006, registered Oct 2, 2008 (881 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address