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

D•••• P•••••• S••••

C••••••••• F•••••••• N••••••national BDDublin, Oh dual registrantIAPD 1924729

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Sep 9, 2024

In the industry

37 y

since May 4, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Sep 9, 2024 · Santa Rosa Beach, Fl
B••••• F•••••••• A••••••• L•• independent RIA
Jul 8, 2016 to Sep 11, 2024 · Dublin, Oh
L•••••• I••••••••• independent RIA
Jun 22, 2016 to Sep 10, 2024 · Dublin, Oh
S•••••••• F••••••••• I••• former
Nov 20, 2015 to Jun 3, 2016 · Dublin, Oh
C••••• C••••••• L•• former
Jan 9, 2003 to Jun 2, 2004 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

B••••• F•••••••• A••••••• L•• to C••••••••• F•••••••• N••••••
left Sep 11, 2024, registered Sep 9, 2024 (-2 days) · RIA to affiliated broker-dealer or bank
L•••••• I••••••••• to B••••• F•••••••• A••••••• L••
left Sep 10, 2024, registered Jul 8, 2016 (-2986 days) · Other
S•••••••• F••••••••• I••• to L•••••• I•••••••••
left Jun 3, 2016, registered Jun 22, 2016 (19 days) · Other
C••••• C••••••• L•• to S•••••••• F••••••••• I•••
left Jun 2, 2004, registered Nov 20, 2015 (4188 days) · Other

Signals

D•••• P•••••• S•••• left B••••• F•••••••• A••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-09-09)
Sep 11, 2024 · Advisor changed firm · fact
D•••• P•••••• S•••• left L•••••• I••••••••• for B••••• F•••••••• A••••••• L•• (registered 2016-07-08)
Sep 10, 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: National broker-dealer RIAderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address