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

A••••• E••• G••••••••

N••••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Ohdual registrantIAPD 5338545

Feed of 09/14/2026

Also filed as A••••• E G••••••••

At current firm

2 y

since Oct 18, 2023

In the industry

18 y

since Jun 26, 2008 (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

N••••••••• I••••••••• A•••••••• L•• BD affiliated current
since Oct 18, 2023 · Columbus, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Aug 8, 2017 to Sep 20, 2023 · Columbus, Oh
N••••••••• S••••••••• L•• no RAUM
Jul 18, 2013 to Aug 1, 2017 · Columbus, Oh
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jun 27, 2013 · Columbus, Oh
J••• M••••• S••••••••• L•• wirehouse
Dec 8, 2008 to May 8, 2009 · Columbus, Oh
C•••• I••••••••• S••••••• C•••• former
Jul 1, 2008 to Oct 1, 2012 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

H••••••••• F•••••••• A••••••• to N••••••••• I••••••••• A•••••••• L••
left Sep 20, 2023, registered Oct 18, 2023 (28 days) · Affiliated broker-dealer or bank to another
N••••••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••
left Aug 1, 2017, registered Aug 8, 2017 (7 days) · Other
J••• M••••• S••••••••• L•• to N••••••••• S••••••••• L••
left Jun 27, 2013, registered Jul 18, 2013 (21 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Dec 8, 2008 (-1393 days) · corporate re-registration, not a move

Signals

A••••• E••• G•••••••• left H••••••••• F•••••••• A••••••• for N••••••••• I••••••••• A•••••••• L•• (registered 2023-10-18)
Sep 20, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address