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••••• J••••• D•••••••

F••••••• F•••••••• A•••••••• L••independent RIAWheeling, Wv dual registrantIAPD 5317625

Feed of 09/14/2026

Also filed as D••••• D•••••••

At current firm

10 y

since Apr 8, 2016

In the industry

19 y

since Jun 8, 2007 (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

F••••••• F•••••••• A•••••••• L•• independent RIA current
since Apr 8, 2016 · Raleigh, Nc
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 20, 2016 · Bellaire, Oh
C•••• I••••••••• S••••••• C•••• former
May 15, 2008 to Oct 1, 2012 · Bellaire, Oh
N•••••• I••••••••• I••• unclassified
Sep 10, 2007 to May 16, 2008 · California, Pa
E••••• J•••• national BD
Jun 27, 2007 to Jul 31, 2007 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to F••••••• F•••••••• A•••••••• L••
left Apr 20, 2016, registered Apr 8, 2016 (-12 days) · Other
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
N•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left May 16, 2008, registered May 15, 2008 (-1 days) · Other
E••••• J•••• to N•••••• I••••••••• I•••
left Jul 31, 2007, registered Sep 10, 2007 (41 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address