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

A••••• J• D•••••

L•• F•••••••• L••BD affiliatedCanfield, Ohdual registrantIAPD 6247663

Feed of 09/14/2026

Also filed as A••••• Joseph D•••••

At current firm

1 y

since Oct 2, 2024

In the industry

12 y

since Oct 1, 2013 (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

L•• F•••••••• L•• BD affiliated current
since Oct 2, 2024 · Canfield, Oh
M••••• S•••••• wirehouse
Oct 21, 2022 to Sep 10, 2024 · Canfield, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 3, 2021 to Oct 7, 2022 · Cortland, Oh
S•••••• N••••••• • C••••••• I••••••••• national BD
Nov 9, 2020 to May 10, 2021 · Warren, Oh
W•••• F•••• A••••••• wirehouse
Apr 17, 2019 to Oct 26, 2020 · Canfield, Oh
A•••••••• C•••••• M••••••••• independent RIA
Nov 16, 2018 to Mar 20, 2019 · Independence, Oh
B•• P•••••••• I••• BD affiliated
Mar 5, 2018 to Oct 9, 2018 · Boardman, Oh
S•••••••• I••••••••• M••••••••• former
Mar 29, 2017 to Mar 8, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to L•• F•••••••• L••
left Sep 10, 2024, registered Oct 2, 2024 (22 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
left Oct 7, 2022, registered Oct 21, 2022 (14 days) · Affiliated broker-dealer or bank to wirehouse
S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left May 10, 2021, registered Jun 3, 2021 (24 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Oct 26, 2020, registered Nov 9, 2020 (14 days) · Wirehouse to affiliated broker-dealer or bank
A•••••••• C•••••• M••••••••• to W•••• F•••• A•••••••
left Mar 20, 2019, registered Apr 17, 2019 (28 days) · RIA to wirehouse
B•• P•••••••• I••• to A•••••••• C•••••• M•••••••••
left Oct 9, 2018, registered Nov 16, 2018 (38 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• I••••••••• M••••••••• to B•• P•••••••• I•••
left Mar 8, 2018, registered Mar 5, 2018 (-3 days) · Other

Signals

A••••• J• D••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2024-10-02)
Sep 10, 2024 · Advisor changed firm · fact
A••••• J• D••••• left A••••••••• F•••••••• S•••••••• L•• for M••••• S•••••• (registered 2022-10-21)
Oct 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address