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

A••••• R••••• C••••••

H•••••••• A•••••••• L••BD affiliatedCleveland, OhIA-onlyIAPD 2775117

Certified Financial Planner

Feed of 09/14/2026

At current firm

7 y

since May 13, 2019

In the industry

30 y

since Aug 23, 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

H•••••••• A•••••••• L•• BD affiliated current
since May 13, 2019 · Cleveland, Oh
F••••••• A•••• M••••••••• former
Jan 19, 2017 to Sep 11, 2019 · Cleveland, Oh
F••••••• A•••• M••••••••• former
Dec 5, 2007 to Dec 31, 2016 · Cleveland, Oh
R••••••• • C• I•• unclassified
Dec 13, 2006 to Nov 30, 2007 · Cleveland, Oh
F••••••• A•••• M••••••••• L•• unclassified
Aug 17, 2004 to Nov 30, 2007 · Cleveland, Oh
A••••••••• A•••••• S•••••••• I••• unclassified
Jun 25, 2003 to Aug 4, 2004 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

F••••••• A•••• M••••••••• to H•••••••• A•••••••• L••
left Sep 11, 2019, registered May 13, 2019 (-121 days) · RIA to affiliated broker-dealer or bank · moved with a team
R••••••• • C• I•• to F••••••• A•••• M•••••••••
left Nov 30, 2007, registered Dec 5, 2007 (5 days) · Other
F••••••• A•••• M••••••••• L•• to R••••••• • C• I••
left Nov 30, 2007, registered Dec 13, 2006 (-352 days) · Other
A••••••••• A•••••• S•••••••• I••• to F••••••• A•••• M••••••••• L••
left Aug 4, 2004, registered Aug 17, 2004 (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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address