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

D•••• A•••••

J••• M••••• S••••••••• L••wirehouseDublin, Oh dual registrantIAPD 1754113

Feed of 09/14/2026

Also filed as David Brian Ausmus

At current firm

5 y

since Mar 8, 2021

In the industry

23 y

since Feb 28, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Mar 8, 2021 · Dublin, Oh
M••••• S•••••• wirehouse
Apr 27, 2017 to Jul 26, 2019 · Columbus, Oh
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Dec 5, 2006 to Apr 8, 2009 · Columbus, Oh
N••••••••• I••••••••• S••••••• C••••••••• unclassified
Feb 2, 2006 to Dec 5, 2006 · Grandview Heights, Oh
C•••••• S••••• • C••• I••• national BD
Feb 28, 2003 to Jul 7, 2004 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••• M••••• S••••••••• L••
left Jul 26, 2019, registered Mar 8, 2021 (591 days) · Wirehouse to wirehouse
N••••••••• I••••••••• A•••••••• L•• to M••••• S••••••
left Apr 8, 2009, registered Apr 27, 2017 (2941 days) · Other
N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••
left Dec 5, 2006, registered Dec 5, 2006 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to N••••••••• I••••••••• S••••••• C•••••••••
left Jul 7, 2004, registered Feb 2, 2006 (575 days) · Other

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: Wirehousederived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address