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

J•••• R•••••• S•••••

B•••••• L••• A••••••• S•••••••• I•••BD affiliatedBeachwood, Oh dual registrantIAPD 3222645

Feed of 09/15/2026

Also filed as J•••• R•••••• S•••••

At current firm

0 y

since Feb 4, 2026

In the industry

27 y

since Jun 18, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B•••••• L••• A••••••• S•••••••• I••• BD affiliated current
since Feb 4, 2026 · Chicago, Il
V••••••••• A••••••• S••••••• BD affiliated
Jan 24, 2025 to Mar 19, 2025 · Shaker Heights, Oh
M••••• S•••••• wirehouse
Jan 25, 2019 to Jan 28, 2025 · Pepper Pike, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 9, 2007 to Jan 24, 2019 · Pepper Pike, Oh
U•• F•••••••• S••••••• I••• wirehouse
Jan 14, 2003 to Oct 16, 2007 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

V••••••••• A••••••• S••••••• to B•••••• L••• A••••••• S•••••••• I•••
left Mar 19, 2025, registered Feb 4, 2026 (322 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to V••••••••• A••••••• S•••••••
left Jan 28, 2025, registered Jan 24, 2025 (-4 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Jan 24, 2019, registered Jan 25, 2019 (1 days) · Wirehouse to wirehouse · moved with a team
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 16, 2007, registered Oct 9, 2007 (-7 days) · Wirehouse to wirehouse

Signals

J•••• R•••••• S••••• left V••••••••• A••••••• S••••••• for B•••••• L••• A••••••• S•••••••• I••• (registered 2026-02-04)
Mar 19, 2025 · Advisor changed firm · fact
J•••• R•••••• S••••• left M••••• S•••••• for V••••••••• A••••••• S••••••• (registered 2025-01-24)
Jan 28, 2025 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address