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•••• R•• B•••••

A•••• O•• W••••• M••••••••• L••independent RIAFindlay, Ohdual registrantIAPD 4626831

Feed of 09/14/2026

At current firm

0 y

since Dec 26, 2025

In the industry

16 y

since Feb 1, 2010 (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

A•••• O•• W••••• M••••••••• L•• independent RIA current
since Dec 26, 2025 · Findlay, Oh
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Nov 25, 2025 · Findlay, Oh
C••••• A•••••• N••••••• L•• former
Nov 4, 2022 to Jun 29, 2023 · Findlay, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Nov 4, 2016 to Oct 7, 2022 · Findlay, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to A•••• O•• W••••• M••••••••• L••
left Nov 25, 2025, registered Dec 26, 2025 (31 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
F•••• T•••• S••••••••• I••• to C••••• A•••••• N••••••• L••
left Oct 7, 2022, registered Nov 4, 2022 (28 days) · Affiliated broker-dealer or bank to another

Signals

M•••• R•• B••••• left C••••• I••••••••• A••••••• L•• for A•••• O•• W••••• M••••••••• L•• (registered 2025-12-26)
Nov 25, 2025 · a•••••• firm change · fact
M•••• R•• B••••• left F•••• T•••• S••••••••• I••• for C••••• A•••••• N••••••• L•• (registered 2022-11-04)
Oct 7, 2022 · a•••••• firm change · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address