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•••• P••• B••••••

H••••••••• F•••••••• A•••••••BD affiliatedColumbus, Ohdual registrantIAPD 5146264

Feed of 09/14/2026

At current firm

8 y

since Apr 16, 2018

In the industry

19 y

since Oct 5, 2006 (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

H••••••••• F•••••••• A••••••• BD affiliated current
since Apr 16, 2018 · Columbus, Oh
M••••• S•••••• wirehouse
Jan 6, 2015 to Sep 18, 2017 · Columbus, Oh
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jan 5, 2015 · Marysville, Oh
C•••• I••••••••• S••••••• C•••• former
Oct 29, 2009 to Oct 1, 2012 · Heath, Oh
E•••••••• A•••••••• L•• national BD
Jan 10, 2008 to Jul 20, 2009 · Akron, Oh
E•••••••• A•••••••• L•• national BD
Aug 2, 2007 to Dec 7, 2007 · Falls Church, Va
H• B•••• I••• former
Oct 9, 2006 to Jun 28, 2007 · N. Bethesda, Md

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to H••••••••• F•••••••• A•••••••
left Sep 18, 2017, registered Apr 16, 2018 (210 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M••••• S••••••
left Jan 5, 2015, registered Jan 6, 2015 (1 days) · Wirehouse to wirehouse
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••
left Jul 20, 2009, registered Oct 29, 2009 (101 days) · Other
H• B•••• I••• to E•••••••• A•••••••• L••
left Jun 28, 2007, registered Aug 2, 2007 (35 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: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address