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••••• C••••

F•••• T•••• S••••••••• I•••BD affiliatedBroadview Heights, Oh dual registrantIAPD 2699741

Feed of 09/15/2026

Also filed as D•••• J••••• C••••

At current firm

9 y

since Jul 30, 2017

In the industry

30 y

since Apr 2, 1996 (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

F•••• T•••• S••••••••• I••• BD affiliated current
since Jul 30, 2017 · Mayfield Heights, Oh
U••• B•••••• I••••••••• I••• former
Aug 29, 2007 to Jul 31, 2017 · Garfield Heights, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Jun 29, 2005 to Aug 15, 2007 · Rocky River, Oh
Q•••• • R•••••• I••• unclassified
Oct 22, 2003 to Sep 16, 2004 · Cleveland, Oh
N•••••• I••••••••• I••• unclassified
Mar 26, 2001 to Sep 23, 2003 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••
left Jul 31, 2017, registered Jul 30, 2017 (-1 days) · Other · moved with a team
H••••••••• F•••••••• A••••••• to U••• B•••••• I••••••••• I•••
left Aug 15, 2007, registered Aug 29, 2007 (14 days) · Other
Q•••• • R•••••• I••• to H••••••••• F•••••••• A•••••••
left Sep 16, 2004, registered Jun 29, 2005 (286 days) · Other
N•••••• I••••••••• I••• to Q•••• • R•••••• I•••
left Sep 23, 2003, registered Oct 22, 2003 (29 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address