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• W••••••

C••• L••BD affiliatedOmaha, Ne IA-onlyIAPD 3224520

Feed of 09/15/2026

Also filed as C••••••••• C• W••••••

At current firm

1 y

since Sep 17, 2025

In the industry

23 y

since Apr 29, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• L•• BD affiliated current
since Sep 17, 2025 · Akron, Oh
W•••• T•••••• F•••••••• G••••• L•• former
Dec 22, 2017 to Dec 31, 2025 · Akron, Oh
S• A•••••••• L•• independent RIA
Nov 3, 2017 to Mar 6, 2019 · Akron, Oh
M••••• S•••••• wirehouse
Jun 1, 2009 to Nov 6, 2017 · Akron, Oh
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 8, 2008 to Jun 1, 2009 · Akron, Oh
U•• F•••••••• S••••••• I••• wirehouse
May 23, 2003 to Sep 15, 2008 · Akron, Oh

Moves

a registration end followed by a registration begin elsewhere

W•••• T•••••• F•••••••• G••••• L•• to C••• L••
left Dec 31, 2025, registered Sep 17, 2025 (-105 days) · RIA to affiliated broker-dealer or bank · moved with a team
S• A•••••••• L•• to W•••• T•••••• F•••••••• G••••• L••
left Mar 6, 2019, registered Dec 22, 2017 (-439 days) · Other · moved with a team
M••••• S•••••• to S• A•••••••• L••
left Nov 6, 2017, registered Nov 3, 2017 (-3 days) · Other · moved with a team
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 15, 2008, registered Sep 8, 2008 (-7 days) · Other

Signals

C••••••••• C• W•••••• left W•••• T•••••• F•••••••• G••••• L•• for C••• L•• (registered 2025-09-17)
Dec 31, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address