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•••• G••••• O••••

J•••••• W••••• M•••••••••independent RIACleveland, OhIA-onlyIAPD 2242624

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

4 y

since Aug 29, 2022

In the industry

36 y

since Jun 1, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J•••••• W••••• M••••••••• independent RIA current
since Aug 29, 2022 · Cleveland, Oh
B••••• F•••••••• A••••••• L•• independent RIA
May 11, 2015 to Oct 20, 2022 · Cleveland, Oh
C•••••• A••••••• BD affiliated
Dec 6, 2012 to Aug 9, 2022 · Cleveland, Oh
L•••••• I••••••••• independent RIA
Jun 1, 2012 to Jun 1, 2015 · Cleveland, Oh
C••••••••• A•••••••• I•• former
Apr 26, 2010 to Jun 1, 2012 · Cleveland, Oh
S•••••• M••••• L•• independent RIA
Jan 3, 2007 to May 21, 2010 · Beachwood, Oh
O•••• F•• I••• former
May 12, 1999 to Jan 4, 2007 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

B••••• F•••••••• A••••••• L•• to J•••••• W••••• M•••••••••
left Oct 20, 2022, registered Aug 29, 2022 (-52 days) · RIA to RIA
C•••••• A••••••• to B••••• F•••••••• A••••••• L••
left Aug 9, 2022, registered May 11, 2015 (-2647 days) · Other · moved with a team
L•••••• I••••••••• to C•••••• A•••••••
left Jun 1, 2015, registered Dec 6, 2012 (-907 days) · Other · moved with a team
C••••••••• A•••••••• I•• to L•••••• I•••••••••
left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
S•••••• M••••• L•• to C••••••••• A•••••••• I••
left May 21, 2010, registered Apr 26, 2010 (-25 days) · Other
O•••• F•• I••• to S•••••• M••••• L••
left Jan 4, 2007, registered Jan 3, 2007 (-1 days) · Other

Signals

D•••• G••••• O•••• left B••••• F•••••••• A••••••• L•• for J•••••• W••••• M••••••••• (registered 2022-08-29)
Oct 20, 2022 · Advisor changed firm · fact
D•••• G••••• O•••• left C•••••• A••••••• for B••••• F•••••••• A••••••• L•• (registered 2015-05-11)
Aug 9, 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: Independent wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address