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

S•• H• C•••••••

C••••••• S••••••••• I•••BD affiliatedAlliance, Oh dual registrantIAPD 2498945

Feed of 09/15/2026

Also filed as Sol C•••••••

At current firm

6 y

since Feb 18, 2020

In the industry

21 y

since Nov 22, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• S••••••••• I••• BD affiliated current
since Feb 18, 2020 · Alliance, Oh
P•• W••••• M••••••••• BD affiliated
Nov 26, 2019 to Mar 4, 2020 · Willowick, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Jun 15, 2012 to Oct 25, 2019 · Lyndhurst, Oh
W•••• F•••• A••••••• wirehouse
Jun 1, 2011 to Jun 12, 2012 · Cleveland, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Dec 7, 2007 to May 27, 2011 · Solon, Oh
M•• I•••••••• S•••••••• L•• BD affiliated
Oct 17, 2007 to Dec 4, 2007 · Cleveland, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Aug 1, 2007 to Oct 16, 2007 · Concord, Oh
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Nov 22, 2006 to Aug 1, 2007 · Monroeville, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 9, 2005 to Nov 8, 2006 · Cleveland, Oh
O•••• F•• I••• former
Nov 22, 2004 to Feb 24, 2005 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to C••••••• S••••••••• I•••
left Mar 4, 2020, registered Feb 18, 2020 (-15 days) · Affiliated broker-dealer or bank to another
F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••
left Oct 25, 2019, registered Nov 26, 2019 (32 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••
left Jun 12, 2012, registered Jun 15, 2012 (3 days) · Other
K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••
left May 27, 2011, registered Jun 1, 2011 (5 days) · Other
M•• I•••••••• S•••••••• L•• to K•• I••••••••• S••••••• L••
left Dec 4, 2007, registered Dec 7, 2007 (3 days) · Other
H••••••••• F•••••••• A••••••• to M•• I•••••••• S•••••••• L••
left Oct 16, 2007, registered Oct 17, 2007 (1 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to H••••••••• F•••••••• A•••••••
left Aug 1, 2007, registered Aug 1, 2007 (0 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Nov 8, 2006, registered Nov 22, 2006 (14 days) · Other
O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 24, 2005, registered Mar 9, 2005 (13 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address