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

R•••• S•••• S••••••••

L•• F•••••••• L••BD affiliatedBeachwood, Ohdual registrantIAPD 2436259

Feed of 09/14/2026

At current firm

1 y

since Jan 13, 2025

In the industry

28 y

since Jul 13, 1998 (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

L•• F•••••••• L•• BD affiliated current
since Jan 13, 2025 · Beachwood, Oh
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Jan 15, 2025 · Beachwood, Oh
S••••••••• A•••••• A•••••••• I••• former
Jan 12, 2006 to Jun 14, 2024 · Pepper Pike, Oh
F••••••• A•••• M••••••••• L•• unclassified
Jan 13, 2003 to Nov 3, 2005 · Cleveland, Oh
R••••••• • C• I•• unclassified
Sep 21, 2000 to Nov 3, 2005 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Jan 15, 2025, registered Jan 13, 2025 (-2 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
R••••••• • C• I•• to F••••••• A•••• M••••••••• L••
left Nov 3, 2005, registered Jan 13, 2003 (-1025 days) · Other
F••••••• A•••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Nov 3, 2005, registered Jan 12, 2006 (70 days) · Other

Signals

R•••• S•••• S•••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-01-13)
Jan 15, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address