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••• C••••••••• T•••••••

J••• M••••• S••••••••• L••wirehouseCleveland, Ohdual registrantIAPD 6152497

Feed of 09/14/2026

At current firm

0 y

since Sep 29, 2025

In the industry

12 y

since Sep 1, 2014 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 29, 2025 · Cleveland, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Nov 15, 2024 to Sep 19, 2025 · Brooklyn, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Nov 7, 2017 to Dec 7, 2022 · Akron, Oh
C•••••••• F•••••••• G•••• A••••••• former
Aug 17, 2015 to Mar 24, 2017 · Beachwood, Oh

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to J••• M••••• S••••••••• L••
left Sep 19, 2025, registered Sep 29, 2025 (10 days) · Affiliated broker-dealer or bank to wirehouse
H••••••••• F•••••••• A••••••• to K•• I••••••••• S••••••• L••
left Dec 7, 2022, registered Nov 15, 2024 (709 days) · Affiliated broker-dealer or bank to another
C•••••••• F•••••••• G•••• A••••••• to H••••••••• F•••••••• A•••••••
left Mar 24, 2017, registered Nov 7, 2017 (228 days) · Other

Signals

C••• C••••••••• T••••••• left K•• I••••••••• S••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-09-29)
Sep 19, 2025 · Advisor changed firm · fact
C••• C••••••••• T••••••• left H••••••••• F•••••••• A••••••• for K•• I••••••••• S••••••• L•• (registered 2024-11-15)
Dec 7, 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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address