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•••• C••••••

S•••••••• E••••• P•••••••• L••independent RIAColumbus, Ohdual registrantIAPD 4425914

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Oct 9, 2024

In the industry

22 y

since Nov 4, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• E••••• P•••••••• L•• independent RIA current
since Oct 9, 2024 · Columbus, Oh
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
May 5, 2021 to Oct 22, 2024 · Westerville, Oh
F•••• F•••••••• E••••• C••••••••• former
Feb 5, 2016 to May 17, 2021 · Dublin, Oh
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 9, 2016 · Columbus, Oh
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Columbus, Oh
M••••• S•••••• D• I••• unclassified
Nov 4, 2003 to Apr 2, 2007 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• E••••• P•••••••• L••
left Oct 22, 2024, registered Oct 9, 2024 (-13 days) · Affiliated broker-dealer or bank to independent RIA
F•••• F•••••••• E••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 17, 2021, registered May 5, 2021 (-12 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to F•••• F•••••••• E••••• C•••••••••
left Feb 9, 2016, registered Feb 5, 2016 (-4 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

M•••••• D•••• C•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S•••••••• E••••• P•••••••• L•• (registered 2024-10-09)
Oct 22, 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: Independent wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address