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••••• D••• R•••••

S•••••• N••••••• • C••••••• I•••••••••national BDBowling Green, Kydual registrantIAPD 5222063

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••••• D••• R•••••

At current firm

2 y

since Jul 31, 2024

In the industry

17 y

since Jan 16, 2009 (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

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Jul 31, 2024 · Bowling Green, Ky
R••••• W• B•••• • C•• I••••••••• mixed wealth
Oct 18, 2019 to Aug 12, 2024 · Bowling Green - Park Plaza, Ky
J••••• H•••••••• W••• L••••• L•• former
Sep 12, 2013 to Oct 18, 2019 · Louisville, Ky
W•••• F•••• A••••••• wirehouse
Mar 6, 2009 to Sep 16, 2013 · Bowling Green, Ky

Moves

a registration end followed by a registration begin elsewhere

R••••• W• B•••• • C•• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 12, 2024, registered Jul 31, 2024 (-12 days) · RIA to affiliated broker-dealer or bank · moved with a team
J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••
left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to J••••• H•••••••• W••• L••••• L••
left Sep 16, 2013, registered Sep 12, 2013 (-4 days) · Other

Signals

N••••• D••• R••••• left R••••• W• B•••• • C•• I••••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2024-07-31)
Aug 12, 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address