DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Registered advisor

M••• S• W•••••

O•••• W•••••• I•••BD affiliatedBroadview Heights, Oh dual registrantIAPD 1433361

Feed of 09/15/2026

Also filed as M••• S• W•••••

At current firm

7 y

since Nov 2, 2018

In the industry

40 y

since Nov 20, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• E••••• P•••••••• L•• independent RIA current
since Aug 21, 2023 · Broadview Heights, Oh
O•••• W•••••• I••• BD affiliated current
since Nov 2, 2018 · Broadview Heights, Oh
S••••••• I••••••••• I••• former
Nov 2, 2015 to Nov 2, 2018 · Broadview Heights, Oh
B• R•••• W••••• M••••••••• former
Oct 27, 2010 to Nov 2, 2015 · Mentor, Oh
R•• C•••••• M••••••• L•• national BD
Mar 13, 2009 to Oct 15, 2010 · Beachwood, Oh
F•••••• B•••• W••••• L•• unclassified
Nov 22, 2002 to Mar 13, 2009 · Beachwood, Oh

Moves

a registration end followed by a registration begin elsewhere

S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
B• R•••• W••••• M••••••••• to S••••••• I••••••••• I•••
left Nov 2, 2015, registered Nov 2, 2015 (0 days) · Other
R•• C•••••• M••••••• L•• to B• R•••• W••••• M•••••••••
left Oct 15, 2010, registered Oct 27, 2010 (12 days) · Other
F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••
left Mar 13, 2009, registered Mar 13, 2009 (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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address