DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

C••••••• M•••••• G•••••

K•• I••••••••• S••••••• L••BD affiliatedSylvania, Oh dual registrantIAPD 5656161

Feed of 09/15/2026

Also filed as C••••••• M•••••• G•••••

At current firm

3 y

since Aug 20, 2023

In the industry

17 y

since Apr 20, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•• I••••••••• S••••••• L•• BD affiliated current
since Aug 20, 2023 · Brooklyn, Oh
I•••• F•••••••• G••••• L•• independent RIA
Mar 21, 2023 to Jul 18, 2023 · Ann Arbor, Mi
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 6, 2022 to Apr 20, 2023 · Ann Arbor, Mi
G••••• R•••••• R••••••••• L•• independent RIA
Feb 8, 2021 to Apr 18, 2022 · Maumee, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jan 25, 2021 · Boston, Ma
S•••••••• A••••••• L•• national BD
Oct 1, 2012 to Jul 13, 2018 · Birmingham, Mi

Moves

a registration end followed by a registration begin elsewhere

I•••• F•••••••• G••••• L•• to K•• I••••••••• S••••••• L••
left Jul 18, 2023, registered Aug 20, 2023 (33 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to I•••• F•••••••• G••••• L••
left Apr 20, 2023, registered Mar 21, 2023 (-30 days) · Affiliated broker-dealer or bank to independent RIA
G••••• R•••••• R••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 18, 2022, registered Apr 6, 2022 (-12 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to G••••• R•••••• R••••••••• L••
left Jan 25, 2021, registered Feb 8, 2021 (14 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

C••••••• M•••••• G••••• left I•••• F•••••••• G••••• L•• for K•• I••••••••• S••••••• L•• (registered 2023-08-20)
Jul 18, 2023 · Advisor changed firm · fact
C••••••• M•••••• G••••• left F••••••• P••••••• A•• W•••••••• A••••••• for I•••• F•••••••• G••••• L•• (registered 2023-03-21)
Apr 20, 2023 · Advisor changed firm · fact
C••••••• M•••••• G••••• left G••••• R•••••• R••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-06)
Apr 18, 2022 · 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