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

G••• A•••• S••••

L•• F•••••••• L••BD affiliatedKettering, Ohdual registrantIAPD 6029196

Feed of 09/14/2026

At current firm

3 y

since May 10, 2023

In the industry

13 y

since Nov 28, 2012 (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

L•• F•••••••• L•• BD affiliated current
since May 10, 2023 · Kettering, Oh
E•••••• C•••••• M••••••••• L•• former
Sep 10, 2020 to Jul 28, 2022 · Arlington, Va
W••••••• F•••••••• S•••••••• I••• former
Nov 18, 2019 to Aug 12, 2020 · Saint Peters, Mo
C••••• • C••••••• I••• former
Apr 26, 2018 to Nov 15, 2019 · St. Peters, Mo
O••••••••• institutional
Jun 13, 2017 to Apr 27, 2018 · Greenwood Village, Co
C••••• C••••••• L•• former
Nov 5, 2015 to Mar 14, 2016 · Denver, Co
L•• F•••••••• L•• BD affiliated
Nov 29, 2012 to Dec 2, 2013 · Signal Hill, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• C•••••• M••••••••• L•• to L•• F•••••••• L••
left Jul 28, 2022, registered May 10, 2023 (286 days) · RIA to affiliated broker-dealer or bank
W••••••• F•••••••• S•••••••• I••• to E•••••• C•••••• M••••••••• L••
left Aug 12, 2020, registered Sep 10, 2020 (29 days) · Affiliated broker-dealer or bank to independent RIA
C••••• • C••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Nov 15, 2019, registered Nov 18, 2019 (3 days) · RIA to affiliated broker-dealer or bank
O••••••••• to C••••• • C••••••• I•••
left Apr 27, 2018, registered Apr 26, 2018 (-1 days) · Other
C••••• C••••••• L•• to O•••••••••
left Mar 14, 2016, registered Jun 13, 2017 (456 days) · Other
L•• F•••••••• L•• to C••••• C••••••• L••
left Dec 2, 2013, registered Nov 5, 2015 (703 days) · Other

Signals

G••• A•••• S•••• left E•••••• C•••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2023-05-10)
Jul 28, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address