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

N••• M•••• D••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 4854481

Feed of 09/14/2026

At current firm

1 y

since May 16, 2025

In the industry

13 y

since Feb 5, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since May 16, 2025 · Plymouth, Mn
M••••• W•••••• L•• former
Oct 10, 2023 to May 19, 2025 · Sheffield Village, Oh
A••••••• I••••••••• A•••••••• L•• institutional
Sep 22, 2021 to Jan 18, 2022 · Sheffield Village, Oh
U•• A••••••• institutional
May 1, 2020 to Aug 10, 2021 · Cleveland, Oh
K••••• A••••••• S•••••••• L•• BD affiliated
Jul 10, 2018 to May 6, 2020 · Twinsburg, Oh
T•• W••••• P••••••• independent RIA
Nov 13, 2017 to Apr 19, 2018 · Maumee, Oh
O•• T• O••• L•• former
Nov 13, 2017 to Apr 19, 2018 · Maumee, Oh
E•••••• A••••••• G••••• L•• BD affiliated
Jul 19, 2016 to Dec 19, 2017 · Greenwood Village, Co
N•• A•••••• S•••••••• L•• former
Dec 12, 2013 to Jan 21, 2014 · Shelton, Ct
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Feb 5, 2013 to Oct 11, 2013 · Mentor, Oh

Moves

a registration end followed by a registration begin elsewhere

M••••• W•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left May 19, 2025, registered May 16, 2025 (-3 days) · corporate re-registration, not a move
A••••••• I••••••••• A•••••••• L•• to M••••• W•••••• L••
left Jan 18, 2022, registered Oct 10, 2023 (630 days) · Other
U•• A••••••• to A••••••• I••••••••• A•••••••• L••
left Aug 10, 2021, registered Sep 22, 2021 (43 days) · Other
K••••• A••••••• S•••••••• L•• to U•• A•••••••
left May 6, 2020, registered May 1, 2020 (-5 days) · Other
T•• W••••• P••••••• to K••••• A••••••• S•••••••• L••
left Apr 19, 2018, registered Jul 10, 2018 (82 days) · RIA to affiliated broker-dealer or bank
O•• T• O••• L•• to T•• W••••• P•••••••
left Apr 19, 2018, registered Nov 13, 2017 (-157 days) · Other
E•••••• A••••••• G••••• L•• to O•• T• O••• L••
left Dec 19, 2017, registered Nov 13, 2017 (-36 days) · Other
N•• A•••••• S•••••••• L•• to E•••••• A••••••• G••••• L••
left Jan 21, 2014, registered Jul 19, 2016 (910 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to N•• A•••••• S•••••••• L••
left Oct 11, 2013, registered Dec 12, 2013 (62 days) · Other

Signals

N••• M•••• D•••••• left A••••••• I••••••••• A•••••••• L•• for M••••• W•••••• L•• (registered 2023-10-10)
Jan 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address