DFX Intelligence
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Registered advisor
B• L•
Feed of 09/14/2026
At current firm
2 y
since Mar 21, 2024
In the industry
28 y
since Jul 27, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Solon, Oh
- P•••• S••••••••• L•• no RAUMJun 22, 2000 to Mar 19, 2007 · Solon, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 19, 2007, registered Mar 21, 2024 (6212 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address