DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• A••• A••••
Feed of 09/14/2026
At current firm
6 y
since Apr 7, 2020
In the industry
36 y
since Aug 24, 1990 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 7, 2020 · Beachwood, Oh
- R•••••• J•••• • A••••••••• I••• national BDDec 5, 2014 to Apr 7, 2020 · Beachwood, Oh
- B• R•••• W••••• M••••••••• formerOct 27, 2010 to Dec 8, 2014 · Mentor, Oh
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Oct 15, 2010 · Beachwood, Oh
- F•••••• B•••• W••••• L•• unclassifiedNov 14, 2006 to Mar 13, 2009 · Beachwood, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 17, 2005 to Nov 15, 2006 · Mayfield, Oh
- A•••••• I••• unclassifiedNov 10, 1999 to May 11, 2005 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Apr 7, 2020, registered Apr 7, 2020 (0 days) · Affiliated broker-dealer or bank to another
- B• R•••• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Dec 8, 2014, registered Dec 5, 2014 (-3 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
- A••••••••• A•••••• S•••••••• I••• to F•••••• B•••• W••••• L••left Nov 15, 2006, registered Nov 14, 2006 (-1 days) · Other
- A•••••• I••• to A••••••••• A•••••• S•••••••• I•••left May 11, 2005, registered May 17, 2005 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address