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

C••••••• R•••

S•••• F••• I••••••••• M••••••••• C••••asset managerReynoldsburg, Ohdual registrantIAPD 5855896

Feed of 09/14/2026

Also filed as C••••••• L R•••

At current firm

3 y

since Mar 16, 2023

In the industry

19 y

since Apr 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••• F••• I••••••••• M••••••••• C•••• asset manager current
since Mar 16, 2023 · Reynoldsburg, Oh
J••• M••••• S••••••••• L•• wirehouse
Sep 26, 2022 to Mar 11, 2023 · Columbus, Oh
M••••• S•••••• wirehouse
Feb 16, 2022 to Sep 29, 2022 · Columbus, Oh
E•••••••• A•••••••• L•• national BD
Jul 2, 2020 to Sep 1, 2021 · Akron, Oh
V•••• F•••••••• A•••••••• I••• BD affiliated
May 1, 2019 to Jul 15, 2020 · Independence, Oh
S•••••• W••••• P•••••••• L•• BD affiliated
Jan 11, 2018 to Mar 15, 2018 · Beachwood, Oh
S•••••••• A••••••• L•• national BD
Jul 13, 2011 to Nov 22, 2017 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to S•••• F••• I••••••••• M••••••••• C••••
left Mar 11, 2023, registered Mar 16, 2023 (5 days) · Other
M••••• S•••••• to J••• M••••• S••••••••• L••
left Sep 29, 2022, registered Sep 26, 2022 (-3 days) · Wirehouse to wirehouse · moved with a team
E•••••••• A•••••••• L•• to M••••• S••••••
left Sep 1, 2021, registered Feb 16, 2022 (168 days) · Affiliated broker-dealer or bank to wirehouse
V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••
left Jul 15, 2020, registered Jul 2, 2020 (-13 days) · Affiliated broker-dealer or bank to another
S•••••• W••••• P•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Mar 15, 2018, registered May 1, 2019 (412 days) · Other
S•••••••• A••••••• L•• to S•••••• W••••• P•••••••• L••
left Nov 22, 2017, registered Jan 11, 2018 (50 days) · Other

Signals

C••••••• R••• left J••• M••••• S••••••••• L•• for S•••• F••• I••••••••• M••••••••• C•••• (registered 2023-03-16)
Mar 11, 2023 · Advisor changed firm · fact
C••••••• R••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2022-09-26)
Sep 29, 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address