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

M••• C•••• C•••••••

L•• F•••••••• L••BD affiliatedIronton, Ohdual registrantIAPD 4967500

Feed of 09/14/2026

At current firm

2 y

since Apr 26, 2024

In the industry

17 y

since Oct 27, 2008 (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 Apr 26, 2024 · Ironton, Oh
O•••• F•• I••• former
Oct 1, 2020 to Apr 25, 2024 · Ironton, Oh
W•••• F•••• A••••••• wirehouse
Oct 11, 2013 to Oct 5, 2020 · Ironton, Oh
P•• W••••• M••••••••• BD affiliated
Aug 30, 2012 to Apr 25, 2013 · Jackson, Oh
W•••• F•••• A••••••• wirehouse
Oct 28, 2008 to Jun 18, 2012 · Huntington, Wv

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to L•• F•••••••• L••
left Apr 25, 2024, registered Apr 26, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to O•••• F•• I•••
left Oct 5, 2020, registered Oct 1, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Apr 25, 2013, registered Oct 11, 2013 (169 days) · Other
W•••• F•••• A••••••• to P•• W••••• M•••••••••
left Jun 18, 2012, registered Aug 30, 2012 (73 days) · Other

Signals

M••• C•••• C••••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-04-26)
Apr 25, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address