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

N•••• G• D••••

F•••• T•••• S••••••••• I•••BD affiliatedFarmington Hills, Mi dual registrantIAPD 2195973

Feed of 09/15/2026

Also filed as N•••• G• D••••

At current firm

2 y

since Nov 3, 2023

In the industry

34 y

since Apr 22, 1992 (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

F•••• T•••• S••••••••• I••• BD affiliated current
since Jul 9, 2026 · Farmington Hills, Mi
A••••••••• F•••••••• S•••••••• L•• national BD current
since Nov 3, 2023 · Farmington Hills, Mi
C••••••• S••••••••• former
Dec 9, 2021 to Nov 3, 2023 · Farmington, Mi
C••••••• S••••••••• I••• BD affiliated
Oct 3, 2019 to Oct 15, 2021 · Fairlawn, Oh
H•••••• T••••••• • K•••• L•• independent RIA
May 8, 2018 to Oct 16, 2018 · La Jolla, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Jun 5, 2017 to Feb 1, 2018 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
C••••••• S••••••••• I••• to C••••••• S•••••••••
left Oct 15, 2021, registered Dec 9, 2021 (55 days) · Affiliated broker-dealer or bank to independent RIA
H•••••• T••••••• • K•••• L•• to C••••••• S••••••••• I•••
left Oct 16, 2018, registered Oct 3, 2019 (352 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••
left Feb 1, 2018, registered May 8, 2018 (96 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address