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

N••• E•••••• W•••••

C••••••••• F•••••••• S•••••••independent RIAVienna, Wv IA-onlyIAPD 2762407

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Apr 11, 2023

In the industry

30 y

since Jul 31, 1996 (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••••••••• F•••••••• S••••••• independent RIA current
since Apr 11, 2023 · Vienna, Wv
A•••• P•••• A••••••• former
Jul 6, 2021 to Apr 6, 2023 · Marietta, Oh
F•••••• W••••• F•••••••• A•••••••• L•• unclassified
Aug 15, 2016 to Jul 2, 2021 · Marietta, Oh
M•••• I••• independent RIA
Aug 11, 2004 to Aug 12, 2016 · Marietts, Oh
S••••••••• A•••••• A•••••••• I••• former
Aug 19, 1999 to Aug 12, 2004 · Marietta, Oh

Moves

a registration end followed by a registration begin elsewhere

A•••• P•••• A••••••• to C••••••••• F•••••••• S•••••••
left Apr 6, 2023, registered Apr 11, 2023 (5 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
F•••••• W••••• F•••••••• A•••••••• L•• to A•••• P•••• A•••••••
left Jul 2, 2021, registered Jul 6, 2021 (4 days) · Other
M•••• I••• to F•••••• W••••• F•••••••• A•••••••• L••
left Aug 12, 2016, registered Aug 15, 2016 (3 days) · Other
S••••••••• A•••••• A•••••••• I••• to M•••• I•••
left Aug 12, 2004, registered Aug 11, 2004 (-1 days) · Other

Signals

N••• E•••••• W••••• left A•••• P•••• A••••••• for C••••••••• F•••••••• S••••••• (registered 2023-04-11)
Apr 6, 2023 · 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address