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

L•••••• N•••••• W•••

T•• A••••• P•••••••• L••independent RIAColumbus, Oh IA-onlyIAPD 4665074

Feed of 09/15/2026

Also filed as L•••••• N W•••

At current firm

2 y

since Sep 14, 2024

In the industry

23 y

since Jul 14, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•• A••••• P•••••••• L•• independent RIA current
since Sep 14, 2024 · Warren, Oh
N•••••• A••••••• BD affiliated
Nov 1, 2021 to Aug 29, 2024 · New Orleans, La
M•• A••••••• F•••••••• M••••••••• I••• former
Oct 26, 2016 to Nov 1, 2021 · Youngstown, Oh
S•••• A••••••• G••••• L•• former
Aug 24, 2016 to Oct 21, 2016 · Youngstown, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 14, 2003 to Jul 1, 2016 · Cortland, Oh

Moves

a registration end followed by a registration begin elsewhere

N•••••• A••••••• to T•• A••••• P•••••••• L••
left Aug 29, 2024, registered Sep 14, 2024 (16 days) · Affiliated broker-dealer or bank to independent RIA
M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••
left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
S•••• A••••••• G••••• L•• to M•• A••••••• F•••••••• M••••••••• I•••
left Oct 21, 2016, registered Oct 26, 2016 (5 days) · Other
A••••••••• F•••••••• S•••••••• L•• to S•••• A••••••• G••••• L••
left Jul 1, 2016, registered Aug 24, 2016 (54 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

L•••••• N•••••• W••• left N•••••• A••••••• for T•• A••••• P•••••••• L•• (registered 2024-09-14)
Aug 29, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address