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.

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Registered advisor

T•••• W•••

H••••••••• F•••••••• A•••••••BD affiliatedCommercial Point, Oh dual registrantIAPD 2987356

Feed of 09/15/2026

Also filed as T•••• Sue Hall

At current firm

4 y

since Mar 22, 2022

In the industry

28 y

since Nov 1, 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

Registration history

IAPD current and previous registrations

H••••••••• F•••••••• A••••••• BD affiliated current
since Mar 22, 2022 · Columbus, Oh
F•••• T•••• S••••••••• I••• BD affiliated
May 11, 2018 to Mar 17, 2022 · Grove City, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 13, 2017 to May 4, 2018 · Dublin, Oh
S•••••• N••••••• • C••••••• I••••••••• national BD
May 24, 2017 to Jul 13, 2017 · Columbus, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Apr 19, 2012 to Nov 7, 2016 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to H••••••••• F•••••••• A•••••••
left Mar 17, 2022, registered Mar 22, 2022 (5 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••
left May 4, 2018, registered May 11, 2018 (7 days) · Affiliated broker-dealer or bank to another
S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Jul 13, 2017, registered Jul 13, 2017 (0 days) · Affiliated broker-dealer or bank to another
F•••• T•••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Nov 7, 2016, registered May 24, 2017 (198 days) · Other

Signals

T•••• W••• left F•••• T•••• S••••••••• I••• for H••••••••• F•••••••• A••••••• (registered 2022-03-22)
Mar 17, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address