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

S•••••••• M••••••• P•••••

C••••• I••••••••• A••••••• L••BD affiliatedDelphos, Ohdual registrantIAPD 3226973

Feed of 09/14/2026

Also filed as S•••••••• M••••••• Clark

At current firm

3 y

since Jun 29, 2023

In the industry

27 y

since Sep 1, 1999 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Delphos, Oh
U••• B•••••• I••••••••• I••• former
Aug 11, 2011 to Mar 19, 2021 · Delphos, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Jul 10, 2007 to Aug 5, 2011 · Wapakoneta, Oh
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Jun 27, 2007 · Chicago, Il
B••• O•• S••••••••• C••••••••• unclassified
May 7, 2003 to Jul 6, 2005 · Lima, Oh

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to C••••• I••••••••• A••••••• L••
left Mar 19, 2021, registered Jun 29, 2023 (832 days) · Affiliated broker-dealer or bank to another · moved with a team
F•••• T•••• S••••••••• I••• to U••• B•••••• I••••••••• I•••
left Aug 5, 2011, registered Aug 11, 2011 (6 days) · Other
C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••
left Jun 27, 2007, registered Jul 10, 2007 (13 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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