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

M••• D•••• W•••••

C••••••••• F•••••••• N••••••national BDHudson, Ohdual registrantIAPD 4060498

Certified Financial Planner

Feed of 09/14/2026

At current firm

4 y

since Mar 8, 2022

In the industry

26 y

since Dec 30, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Mar 8, 2022 · Hudson, Oh
S•••••• W••••• P•••••••• L•• BD affiliated
Jul 17, 2013 to Mar 8, 2022 · Hudson, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 29, 2010 to Jul 25, 2013 · Independence, Oh
S••••••• I••••••••• I••• former
Sep 2, 2009 to Mar 29, 2010 · Stow, Oh
W••••• W••••• A••••••• unclassified
May 4, 2009 to Aug 26, 2009 · Hudson, Oh
S•••••• F•••••••• G••••• L••••• independent RIA
Apr 27, 2007 to Oct 22, 2008 · Akron, Oh
M•••••• • N••••• A•••••••• L•• mixed wealth
Apr 8, 2004 to Jul 26, 2006 · Hudson, Oh
O•••• F•• I••• former
Jul 25, 2001 to Jan 15, 2004 · Solon, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• W••••• P•••••••• L•• to C••••••••• F•••••••• N••••••
left Mar 8, 2022, registered Mar 8, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••••• F•••••••• S•••••••• L•• to S•••••• W••••• P•••••••• L••
left Jul 25, 2013, registered Jul 17, 2013 (-8 days) · Other
S••••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Mar 29, 2010, registered Mar 29, 2010 (0 days) · Other
W••••• W••••• A••••••• to S••••••• I••••••••• I•••
left Aug 26, 2009, registered Sep 2, 2009 (7 days) · Other
S•••••• F•••••••• G••••• L••••• to W••••• W••••• A•••••••
left Oct 22, 2008, registered May 4, 2009 (194 days) · Other
M•••••• • N••••• A•••••••• L•• to S•••••• F•••••••• G••••• L•••••
left Jul 26, 2006, registered Apr 27, 2007 (275 days) · Other
O•••• F•• I••• to M•••••• • N••••• A•••••••• L••
left Jan 15, 2004, registered Apr 8, 2004 (84 days) · Other

Signals

M••• D•••• W••••• left S•••••• W••••• P•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-03-08)
Mar 8, 2022 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address