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

S•••••••• J••• D••••••

F••••• D•••••••• W•••••• L••independent RIAMiddleburg Heights, Oh IA-onlyIAPD 2969301

Feed of 09/15/2026

Also filed as Sal D••••••

At current firm

2 y

since Apr 30, 2024

In the industry

28 y

since Dec 12, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••• D•••••••• W•••••• L•• independent RIA current
since Apr 30, 2024 · Mentor, Oh
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to May 10, 2024 · Mentor, Oh
C••••• A••••••• L•• former
Jan 21, 2020 to Mar 21, 2024 · Bay Village, Oh
S•••••• W••••• P•••••••• L•• BD affiliated
Jul 29, 2014 to Feb 6, 2020 · Mentor, Oh
L•• F•••••••• L•• BD affiliated
Aug 16, 2013 to Feb 5, 2020 · Mentor, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Apr 9, 2012 to Aug 20, 2013 · Cleveland, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Nov 24, 2010 to Mar 16, 2012 · Mentor, Oh
P•• W••••• M••••••••• BD affiliated
Nov 13, 2009 to Nov 29, 2010 · Cleveland, Oh
N•••••• I••••••••• I••• unclassified
Oct 8, 2009 to Nov 13, 2009 · Chardon, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Nov 22, 2004 to Oct 5, 2009 · Wickliffe, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to F••••• D•••••••• W•••••• L••
left May 10, 2024, registered Apr 30, 2024 (-10 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
S•••••• W••••• P•••••••• L•• to C••••• A••••••• L••
left Feb 6, 2020, registered Jan 21, 2020 (-16 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••
left Feb 5, 2020, registered Jul 29, 2014 (-2017 days) · Other
K•• I••••••••• S••••••• L•• to L•• F•••••••• L••
left Aug 20, 2013, registered Aug 16, 2013 (-4 days) · Other
H••••••••• F•••••••• A••••••• to K•• I••••••••• S••••••• L••
left Mar 16, 2012, registered Apr 9, 2012 (24 days) · Other
P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••
left Nov 29, 2010, registered Nov 24, 2010 (-5 days) · Other
N•••••• I••••••••• I••• to P•• W••••• M•••••••••
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
F•••• T•••• S••••••••• I••• to N•••••• I••••••••• I•••
left Oct 5, 2009, registered Oct 8, 2009 (3 days) · Other

Signals

S•••••••• J••• D•••••• left C••••• I••••••••• A••••••• L•• for F••••• D•••••••• W•••••• L•• (registered 2024-04-30)
May 10, 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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address