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••••• C•••••• C•••••••

M••••••BD affiliatedBeachwood, Oh IA-onlyIAPD 6269723

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Jun 3, 2025

In the industry

12 y

since Nov 1, 2013 (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

M•••••• BD affiliated current
since Jun 3, 2025 · Willoughby, Oh
S•••••• F•••••••• G••••• L••••• independent RIA
Jan 12, 2022 to Jun 27, 2025 · Mayfield Heights, Oh
N•• F•••••••• P••••••• former
Aug 22, 2018 to Nov 7, 2022 · Mayfield Heights, Oh
O•••• W•••••• I••• BD affiliated
Aug 20, 2018 to Jan 18, 2022 · Mayfield Hts, Oh
N•• F•••••••• P••••••• former
Aug 22, 2014 to Jun 11, 2018 · Mayfield Heights, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• F•••••••• G••••• L••••• to M••••••
left Jun 27, 2025, registered Jun 3, 2025 (-24 days) · RIA to affiliated broker-dealer or bank · moved with a team
N•• F•••••••• P••••••• to S•••••• F•••••••• G••••• L•••••
left Nov 7, 2022, registered Jan 12, 2022 (-299 days) · RIA to RIA · moved with a team
O•••• W•••••• I••• to N•• F•••••••• P•••••••
left Jan 18, 2022, registered Aug 22, 2018 (-1245 days) · Affiliated broker-dealer or bank to independent RIA
N•• F•••••••• P••••••• to O•••• W•••••• I•••
left Jun 11, 2018, registered Aug 20, 2018 (70 days) · Other

Signals

A••••• C•••••• C••••••• left S•••••• F•••••••• G••••• L••••• for Mariner (registered 2025-06-03)
Jun 27, 2025 · Advisor changed firm · fact
A••••• C•••••• C••••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)
Nov 7, 2022 · Advisor changed firm · fact
A••••• C•••••• C••••••• left O•••• W•••••• I••• for N•• F•••••••• P••••••• (registered 2018-08-22)
Jan 18, 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