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

D••••• P••• D••••••

C••••••••• F•••••••• N••••••national BDBay City, Midual registrantIAPD 3261553

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jul 29, 2024

In the industry

27 y

since Aug 12, 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

C••••••••• F•••••••• N•••••• national BD current
since Jul 29, 2024 · Bay City, Mi
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Jul 26, 2024 · Bay City, Mi
C••••• I••••••••• S••••••• L•• former
Oct 25, 2010 to Jan 21, 2014 · Clio, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 25, 2001 to Oct 28, 2002 · Saginaw, Mi

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••
left Jul 26, 2024, registered Jul 29, 2024 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••
left Oct 28, 2002, registered Oct 25, 2010 (2919 days) · Other

Signals

D••••• P••• D•••••• left C••••• I••••••••• A••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-07-29)
Jul 26, 2024 · 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address