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

C••••• L••• N•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedRichfield, Oh dual registrantIAPD 2659637

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as C••••• L N•••••

At current firm

11 y

since Mar 16, 2015

In the industry

28 y

since Feb 25, 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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Mar 16, 2015 · Maumee, Oh
C••••• A•••••• N••••••• L•• former
Sep 3, 2013 to Mar 17, 2015 · Valley View, Oh
F•••••••• M••••••••• S••••••••• I••• independent RIA
Jul 2, 2013 to Mar 16, 2015 · Broadview Hts., Oh
S••••• A•• A••••••••• I••• unclassified
Jun 7, 2004 to Sep 25, 2013 · Toledo, Oh
W••••• S••••• S••••••••• I••• former
May 28, 2004 to Sep 3, 2013 · Toledo, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 17, 2015, registered Mar 16, 2015 (-1 days) · Other
F•••••••• M••••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••
left Mar 16, 2015, registered Sep 3, 2013 (-559 days) · Other
S••••• A•• A••••••••• I••• to F•••••••• M••••••••• S••••••••• I•••
left Sep 25, 2013, registered Jul 2, 2013 (-85 days) · Other
W••••• S••••• S••••••••• I••• to S••••• A•• A••••••••• I•••
left Sep 3, 2013, registered Jun 7, 2004 (-3375 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address