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••••• P••••••• J••••

L•• F•••••••• L••BD affiliatedSheffield Village, Ohdual registrantIAPD 3222256

Feed of 09/14/2026

Also filed as C••••• Klingshirn

At current firm

3 y

since Jun 5, 2023

In the industry

25 y

since Dec 4, 2000 (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

L•• F•••••••• L•• BD affiliated current
since Jun 5, 2023 · Sheffield Village, Oh
S•••••• W••••• M••••••••• L•• independent RIA
Oct 1, 2019 to Jun 1, 2023 · Sheffield Village, Oh
A•••••••• I••••••••• M••••••••• L•• former
Jul 12, 2011 to Oct 2, 2019 · Sheffiled Village, Oh
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Oct 4, 2006 to Jul 21, 2011 · Elyria, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• W••••• M••••••••• L•• to L•• F•••••••• L••
left Jun 1, 2023, registered Jun 5, 2023 (4 days) · RIA to affiliated broker-dealer or bank
A•••••••• I••••••••• M••••••••• L•• to S•••••• W••••• M••••••••• L••
left Oct 2, 2019, registered Oct 1, 2019 (-1 days) · RIA to RIA · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••
left Jul 21, 2011, registered Jul 12, 2011 (-9 days) · Other

Signals

C••••• P••••••• J•••• left S•••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2023-06-05)
Jun 1, 2023 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address