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•••• J•• Z••••

C••••••• A•••• M••••••••• L••BD affiliatedThe Villages, Fl dual registrantIAPD 2250376

Feed of 09/15/2026

At current firm

13 y

since Dec 6, 2012

In the industry

34 y

since Oct 1, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• A•••• M••••••••• L•• BD affiliated current
since Dec 6, 2012 · Ann Arbor, Mi
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Apr 2, 2012 to Oct 18, 2012 · Racine, Wi
A•••• W••••• M••••••••• L•• independent RIA
Oct 12, 2010 to Apr 3, 2012 · Racine, Wi
H• B•••• I••• former
Oct 4, 2010 to Oct 4, 2010 · Rockville, Md
V••• F•••••••• A•••••••• I••• BD affiliated
Apr 19, 2002 to Oct 4, 2010 · Naperville, Il
S•• I••••••••• I••• former
Apr 3, 2000 to Apr 24, 2002 · Racine, Wi

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••• A•••• M••••••••• L••
left Oct 18, 2012, registered Dec 6, 2012 (49 days) · Other
A•••• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 3, 2012, registered Apr 2, 2012 (-1 days) · Other
H• B•••• I••• to A•••• W••••• M••••••••• L••
left Oct 4, 2010, registered Oct 12, 2010 (8 days) · Other
V••• F•••••••• A•••••••• I••• to H• B•••• I•••
left Oct 4, 2010, registered Oct 4, 2010 (0 days) · Other
S•• I••••••••• I••• to V••• F•••••••• A•••••••• I•••
left Apr 24, 2002, registered Apr 19, 2002 (-5 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