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.

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Registered advisor

G••• E••••• P•••

L•• F•••••••• L••BD affiliatedCuyahoga Falls, Oh dual registrantIAPD 4511570

Feed of 09/15/2026

At current firm

1 y

since Oct 29, 2024

In the industry

22 y

since Mar 31, 2004 (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

L•• F•••••••• L•• BD affiliated current
since Oct 29, 2024 · Cuyahoga Falls, Oh
C••••• I••••••••• A••••••• L•• BD affiliated
Jul 1, 2019 to Oct 30, 2024 · Aurora, Oh
H•••••• T••••••• • K•••• L•• independent RIA
Dec 21, 2017 to May 14, 2019 · Akron, Oh
C••••••• S••••••••• I••• BD affiliated
Aug 26, 2009 to Nov 14, 2017 · Cleveland, Oh
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Jul 31, 2009 · Independence, Oh
B••• O•• S••••••••• C••••••••• unclassified
May 10, 2005 to Jul 6, 2005 · Parma, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Oct 30, 2024, registered Oct 29, 2024 (-1 days) · Affiliated broker-dealer or bank to another
H•••••• T••••••• • K•••• L•• to C••••• I••••••••• A••••••• L••
left May 14, 2019, registered Jul 1, 2019 (48 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to H•••••• T••••••• • K•••• L••
left Nov 14, 2017, registered Dec 21, 2017 (37 days) · Other
C•••• I••••••••• S••••••• C•••• to C••••••• S••••••••• I•••
left Jul 31, 2009, registered Aug 26, 2009 (26 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

G••• E••••• P••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-10-29)
Oct 30, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address