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.

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Registered advisor

J•••• C••••••

C•••• C••••••independent RIAToledo, OhIA-onlyIAPD 5740686

Certified Financial Planner

Feed of 09/14/2026

Also filed as J•••• C••••••

At current firm

0 y

since Mar 12, 2026

In the industry

16 y

since Jan 13, 2010 (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

C•••• C•••••• independent RIA current
since Mar 12, 2026 · Toledo, Oh
A••••••• A••••••• S•••••••• L•• BD affiliated
Nov 1, 2021 to Feb 20, 2026 · Toledo, Oh
A••••••• A••••••• S••••••• former
Apr 3, 2018 to Nov 1, 2021 · Toledo, Oh
J••• M••••• S••••••••• L•• wirehouse
Jun 22, 2017 to Feb 23, 2018 · Columbus, Oh
P•• W••••• M••••••••• BD affiliated
Apr 15, 2013 to Apr 5, 2016 · Cleveland, Oh
E••••• J•••• national BD
Jul 13, 2011 to Apr 9, 2013 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

A••••••• A••••••• S•••••••• L•• to C•••• C••••••
left Feb 20, 2026, registered Mar 12, 2026 (20 days) · Affiliated broker-dealer or bank to independent RIA
A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••
left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to A••••••• A••••••• S•••••••
left Feb 23, 2018, registered Apr 3, 2018 (39 days) · Wirehouse to affiliated broker-dealer or bank
P•• W••••• M••••••••• to J••• M••••• S••••••••• L••
left Apr 5, 2016, registered Jun 22, 2017 (443 days) · Other
E••••• J•••• to P•• W••••• M•••••••••
left Apr 9, 2013, registered Apr 15, 2013 (6 days) · Other

Signals

J•••• C•••••• left A••••••• A••••••• S•••••••• L•• for C•••• C•••••• (registered 2026-03-12)
Feb 20, 2026 · 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: Independent wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address