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

R•••••• A••••• S••••••

A••••••• F•••••••• A•••••••• L••BD affiliatedWest Chester, Ohdual registrantIAPD 5057778

Feed of 09/14/2026

Also filed as R•••••• A••••• S••••••

At current firm

2 y

since Nov 22, 2023

In the industry

20 y

since Dec 7, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••••• F•••••••• A•••••••• L•• BD affiliated current
since Nov 22, 2023 · West Chester, Oh
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Aug 19, 2014 to Aug 29, 2022 · Cincinnati, Oh
O•••• F•• I••• former
May 9, 2007 to Apr 28, 2014 · West Chester, Oh
W•••••• • R••• former
Dec 7, 2005 to May 4, 2007 · West Chester, Oh

Moves

a registration end followed by a registration begin elsewhere

T••••••••• F•••••••• A•••••••• L•• to A••••••• F•••••••• A•••••••• L••
left Aug 29, 2022, registered Nov 22, 2023 (450 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to T••••••••• F•••••••• A•••••••• L••
left Apr 28, 2014, registered Aug 19, 2014 (113 days) · Other
W•••••• • R••• to O•••• F•• I•••
left May 4, 2007, registered May 9, 2007 (5 days) · Other

Signals

R•••••• A••••• S•••••• left T••••••••• F•••••••• A•••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2023-11-22)
Aug 29, 2022 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address