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

B•••• S•••

S•••••••• A••••••• L••national BDChagrin Falls, Ohdual registrantIAPD 5863371

Feed of 09/14/2026

Also filed as B•••• S•••

At current firm

1 y

since Jul 16, 2025

In the industry

15 y

since Jan 5, 2011 (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•••••••• A••••••• L•• national BD current
since Jul 16, 2025 · Chagrin Falls, Oh
L•• F•••••••• L•• BD affiliated
Mar 15, 2023 to Dec 20, 2024 · Chargin Falls, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Jun 4, 2021 to Mar 17, 2023 · Albany, Ny
J••• M••••• S••••••••• L•• wirehouse
Nov 6, 2020 to May 26, 2021 · Holland, Oh
C••••••• S••••••••• I••• BD affiliated
Jun 8, 2018 to Oct 27, 2020 · East Toledo, Oh
S•••••••• I••••••••• M••••••••• former
Dec 23, 2016 to Mar 9, 2018 · Saint Louis, Mo
E••••• J•••• national BD
Jan 5, 2011 to Dec 12, 2012 · Charleston, Sc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to S•••••••• A••••••• L••
left Dec 20, 2024, registered Jul 16, 2025 (208 days) · Affiliated broker-dealer or bank to another
K•• I••••••••• S••••••• L•• to L•• F•••••••• L••
left Mar 17, 2023, registered Mar 15, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
J••• M••••• S••••••••• L•• to K•• I••••••••• S••••••• L••
left May 26, 2021, registered Jun 4, 2021 (9 days) · Wirehouse to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Oct 27, 2020, registered Nov 6, 2020 (10 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• I••••••••• M••••••••• to C••••••• S••••••••• I•••
left Mar 9, 2018, registered Jun 8, 2018 (91 days) · Affiliated broker-dealer or bank to another · moved with a team
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Dec 12, 2012, registered Dec 23, 2016 (1472 days) · Other

Signals

B•••• S••• left L•• F•••••••• L•• for S•••••••• A••••••• L•• (registered 2025-07-16)
Dec 20, 2024 · Advisor changed firm · fact
B•••• S••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2023-03-15)
Mar 17, 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address