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

M•••••• W••••• H•••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedFlushing, Midual registrantIAPD 2303203

Feed of 09/14/2026

At current firm

1 y

since May 28, 2025

In the industry

33 y

since Jan 20, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since May 28, 2025 · Flushing, Mi
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 8, 2017 to Jun 5, 2025 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse
Dec 22, 2009 to Dec 14, 2017 · Flint, Mi
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Jan 4, 2010 · Flint, Mi
B••• O•• S••••••••• C••••••••• unclassified
Apr 27, 2005 to Jul 6, 2005 · Auburn Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 5, 2025, registered May 28, 2025 (-8 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 14, 2017, registered Dec 8, 2017 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Jan 4, 2010, registered Dec 22, 2009 (-13 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

M•••••• W••••• H••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-05-28)
Jun 5, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address