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

D••••• M•••••• D••••

O•• P••• W••••• M••••••••• L••state registeredLakewood, OhIA-onlyIAPD 5069615

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• M D••••

At current firm

11 y

since Apr 23, 2015

In the industry

20 y

since Dec 22, 2005 (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

O•• P••• W••••• M••••••••• L•• state registered current
since Apr 23, 2015 · Lakewood, Oh
R•••••• W••••• M••••••••• independent RIA
Sep 4, 2013 to Nov 5, 2014 · Erie, Pa
S•••••••• A••••••• L•• national BD
Apr 30, 2012 to Sep 13, 2013 · Westlake, Oh
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 27, 2009 to Apr 19, 2012 · Beachwood, Oh
T• A••••••••• I••• former
Jan 27, 2009 to Apr 19, 2012 · Orange Village, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Aug 29, 2008 to Jan 20, 2009 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

R•••••• W••••• M••••••••• to O•• P••• W••••• M••••••••• L••
left Nov 5, 2014, registered Apr 23, 2015 (169 days) · Other
S•••••••• A••••••• L•• to R•••••• W••••• M•••••••••
left Sep 13, 2013, registered Sep 4, 2013 (-9 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Apr 19, 2012, registered Jan 27, 2009 (-1178 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to S•••••••• A••••••• L••
left Apr 19, 2012, registered Apr 30, 2012 (11 days) · Other
F•••• T•••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 20, 2009, registered Jan 27, 2009 (7 days) · Other

Signals

No dated event on this person.

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: STATE REGISTEREDderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address