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••• B••••••••• R••

S••••• P•• F•••••••• A••••••• S•••••••• L••state registeredColumbus, OhIA-onlyIAPD 2867655

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jan 9, 2024

In the industry

29 y

since Sep 10, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Professional profile: linkedin.com/in/alan-ray-cfp%C2%AE-72829b5reportedadviserinfo.sec.govForm ADV Item 1.I, Sep 14, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

S••••• P•• F•••••••• A••••••• S•••••••• L•• state registered current
since Jan 9, 2024 · Columbus, Oh
A•••••••• C•••••• M••••••••• independent RIA
Nov 4, 2019 to Jan 2, 2024 · Columbus, Oh
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Apr 1, 2019 to Oct 10, 2019 · Columbus, Oh
N••••••••• S••••••••• L•• no RAUM
Mar 31, 2011 to Mar 29, 2019 · Columbus, Oh
S•• BD affiliated
May 22, 2006 to May 11, 2009 · Columbus, Oh
C••• B•••••••• S•••••••• I••• former
Aug 3, 2004 to May 22, 2006 · Groveport, Oh

Moves

a registration end followed by a registration begin elsewhere

A•••••••• C•••••• M••••••••• to S••••• P•• F•••••••• A••••••• S•••••••• L••
left Jan 2, 2024, registered Jan 9, 2024 (7 days) · RIA to a state-registered adviser
M••••• O• O•••• I••••••• S•••••••• I••• to A•••••••• C•••••• M•••••••••
left Oct 10, 2019, registered Nov 4, 2019 (25 days) · Other
N••••••••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••
left Mar 29, 2019, registered Apr 1, 2019 (3 days) · Other
S•• to N••••••••• S••••••••• L••
left May 11, 2009, registered Mar 31, 2011 (689 days) · Other
C••• B•••••••• S•••••••• I••• to S••
left May 22, 2006, registered May 22, 2006 (0 days) · Other

Signals

A••• B••••••••• R•• left A•••••••• C•••••• M••••••••• for S••••• P•• F•••••••• A••••••• S•••••••• L•• (registered 2024-01-09)
Jan 2, 2024 · 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: STATE REGISTEREDderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address