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

C•••••• C•••• D•••••••

W•••• F•••• A•••••••wirehouseWestlake, Ohdual registrantIAPD 3086295

Feed of 09/14/2026

Also filed as C•••••• C Gates

At current firm

2 y

since Jul 8, 2024

In the industry

18 y

since May 29, 2008 (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

W•••• F•••• A••••••• wirehouse current
since Jul 8, 2024 · Westlake, Oh
R••••• W• B•••• • C•• I••••••••• mixed wealth
Mar 21, 2022 to Jun 21, 2024 · Cleveland, Oh
A••• I••••• A••••••• independent RIA
Oct 13, 2021 to Mar 8, 2022 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Sep 13, 2013 to May 24, 2021 · Westlake, Oh
M••••• S•••••• wirehouse
Mar 4, 2011 to Sep 17, 2013 · Westlake, Oh
M••••• S•••••• wirehouse
Jun 1, 2009 to Mar 8, 2010 · Westlake, Oh
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 4, 2008 to Jun 1, 2009 · Westlake, Oh

Moves

a registration end followed by a registration begin elsewhere

R••••• W• B•••• • C•• I••••••••• to W•••• F•••• A•••••••
left Jun 21, 2024, registered Jul 8, 2024 (17 days) · RIA to wirehouse
A••• I••••• A••••••• to R••••• W• B•••• • C•• I•••••••••
left Mar 8, 2022, registered Mar 21, 2022 (13 days) · RIA to RIA
W•••• F•••• A••••••• to A••• I••••• A•••••••
left May 24, 2021, registered Oct 13, 2021 (142 days) · Wirehouse to independent RIA
M••••• S•••••• to W•••• F•••• A•••••••
left Sep 17, 2013, registered Sep 13, 2013 (-4 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

C•••••• C•••• D••••••• left R••••• W• B•••• • C•• I••••••••• for W•••• F•••• A••••••• (registered 2024-07-08)
Jun 21, 2024 · Advisor changed firm · fact
C•••••• C•••• D••••••• left A••• I••••• A••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2022-03-21)
Mar 8, 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: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address