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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

V•••••• P••• D•••••••

I••••• C•••••• P•••••••independent RIASpringboro, OhIA-onlyIAPD 1543855

Feed of 09/14/2026

At current firm

1 y

since Nov 6, 2024

In the industry

40 y

since Aug 28, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••• C•••••• P••••••• independent RIA current
since Nov 6, 2024 · Springboro, Oh
L••• K••• • C•••••• former
Jan 3, 2012 to Nov 11, 2024 · Cincinnati, Oh
P•••••• W••••• • R••••••••• S••••••• unclassified
Feb 17, 2011 to Oct 7, 2011 · Centerville, Oh
O•••• W•••••• I••• BD affiliated
Mar 18, 2005 to Dec 31, 2010 · Centerville, Oh
M••••• S•••••• D• I••• unclassified
Jan 2, 2003 to Feb 10, 2005 · Centerville, Oh

Moves

a registration end followed by a registration begin elsewhere

L••• K••• • C•••••• to I••••• C•••••• P•••••••
left Nov 11, 2024, registered Nov 6, 2024 (-5 days) · RIA to RIA
P•••••• W••••• • R••••••••• S••••••• to L••• K••• • C••••••
left Oct 7, 2011, registered Jan 3, 2012 (88 days) · Other
O•••• W•••••• I••• to P•••••• W••••• • R••••••••• S•••••••
left Dec 31, 2010, registered Feb 17, 2011 (48 days) · Other
M••••• S•••••• D• I••• to O•••• W•••••• I•••
left Feb 10, 2005, registered Mar 18, 2005 (36 days) · Other

Signals

V•••••• P••• D••••••• left L••• K••• • C•••••• for I••••• C•••••• P••••••• (registered 2024-11-06)
Nov 11, 2024 · 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: Independent wealth managerderived
Years in industry: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address