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

W•••••• S••••• S••••

C••••••••• C••••••••• A••••••• S••••••••independent RIACleveland, Oh IA-onlyIAPD 5850524

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

At current firm

0 y

since Feb 26, 2026

In the industry

16 y

since Sep 1, 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••••••••• A••••••• S•••••••• independent RIA current
since Feb 26, 2026 · Seattle, Wa
T•• C•••••• G••••• L•• former
Nov 30, 2023 to Feb 18, 2026 · Seattle, Wa
C•••••• S••••• • C••• I••• national BD
Mar 31, 2014 to Sep 26, 2023 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

T•• C•••••• G••••• L•• to C••••••••• C••••••••• A••••••• S••••••••
left Feb 18, 2026, registered Feb 26, 2026 (8 days) · RIA to RIA · moved with a team
C•••••• S••••• • C••• I••• to T•• C•••••• G••••• L••
left Sep 26, 2023, registered Nov 30, 2023 (65 days) · Affiliated broker-dealer or bank to independent RIA

Signals

W•••••• S••••• S•••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-26)
Feb 18, 2026 · Advisor changed firm · fact
W•••••• S••••• S•••• left C•••••• S••••• • C••• I••• for T•• C•••••• G••••• L•• (registered 2023-11-30)
Sep 26, 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: Independent wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address