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•••• S• D•••••

S•••••• N••••••• • C••••••• I•••••••••national BDWestlake, Ohdual registrantIAPD 2045748

Feed of 09/14/2026

Also filed as D•••• Sue D•••••

At current firm

1 y

since Oct 15, 2024

In the industry

30 y

since Jan 29, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Oct 15, 2024 · Westlake, Oh
R••••• W• B•••• • C•• I••••••••• mixed wealth
Nov 23, 2022 to May 2, 2024 · Akron, Oh
L••••••••• W••••• A••••••• independent RIA
Jan 5, 2022 to Oct 26, 2022 · Valley View, Oh
R••••• W• B•••• • C•• I••••••••• mixed wealth
Apr 11, 2011 to Jul 20, 2021 · Cleveland, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 19, 2010 to Apr 21, 2011 · Akron, Oh
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 29, 2010 · Westlake, Oh
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 27, 2006 to Jun 1, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

R••••• W• B•••• • C•• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••
left May 2, 2024, registered Oct 15, 2024 (166 days) · RIA to affiliated broker-dealer or bank
L••••••••• W••••• A••••••• to R••••• W• B•••• • C•• I•••••••••
left Oct 26, 2022, registered Nov 23, 2022 (28 days) · RIA to RIA
R••••• W• B•••• • C•• I••••••••• to L••••••••• W••••• A•••••••
left Jul 20, 2021, registered Jan 5, 2022 (169 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••• W• B•••• • C•• I•••••••••
left Apr 21, 2011, registered Apr 11, 2011 (-10 days) · Other
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 29, 2010, registered Nov 19, 2010 (21 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

D•••• S• D••••• left R••••• W• B•••• • C•• I••••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2024-10-15)
May 2, 2024 · Advisor changed firm · fact
D•••• S• D••••• left L••••••••• W••••• A••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2022-11-23)
Oct 26, 2022 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address