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

G••• A••••• H•••••

S•••••• W••••• P•••••••• L••BD affiliatedAkron, Ohdual registrantIAPD 5614233

Certified Financial Planner

Feed of 09/14/2026

Also filed as G••• A H•••••

At current firm

2 y

since Apr 22, 2024

In the industry

17 y

since Apr 2, 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•••••• W••••• P•••••••• L•• BD affiliated current
since Apr 22, 2024 · Akron, Oh
P••• W••••• S•••••••• independent RIA
Nov 12, 2020 to Dec 17, 2024 · Pepper Pike, Oh
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to May 8, 2018 · Broadview Heights, Oh
M•• F•••••••• S•••••••• I••• former
Jan 2, 2015 to Mar 25, 2017 · Westlake, Oh
N•• E•••••• S••••••••• C••••••••• former
Jul 3, 2012 to Jan 2, 2015 · Westlake, Oh
T••••••• I••••••••• M••••••••• I••• BD affiliated
Apr 3, 2009 to Jun 7, 2012 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

P••• W••••• S•••••••• to S•••••• W••••• P•••••••• L••
left Dec 17, 2024, registered Apr 22, 2024 (-239 days) · RIA to affiliated broker-dealer or bank
M•• I•••••••• S•••••••• L•• to P••• W••••• S••••••••
left May 8, 2018, registered Nov 12, 2020 (919 days) · Affiliated broker-dealer or bank to independent RIA
M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
T••••••• I••••••••• M••••••••• I••• to N•• E•••••• S••••••••• C•••••••••
left Jun 7, 2012, registered Jul 3, 2012 (26 days) · Other

Signals

G••• A••••• H••••• left P••• W••••• S•••••••• for S•••••• W••••• P•••••••• L•• (registered 2024-04-22)
Dec 17, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address