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

P•••••• A•••••• C•••••••

N••••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Ohdual registrantIAPD 6338175

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

3 y

since Aug 3, 2023

In the industry

12 y

since Jul 3, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••••• I••••••••• A•••••••• L•• BD affiliated current
since Aug 3, 2023 · Columbus, Oh
M••••••••• R••••••••• BD affiliated
Apr 27, 2022 to Jul 25, 2023 · Washington, Dc
V••• R••••••••• A•••••••• L•• other
Jun 9, 2021 to Apr 18, 2022 · Windsor, Ct
V••• R••••••••• A•••••••• L•• other
Feb 21, 2018 to Apr 30, 2021 · Washougal, Wa
H•• I••••••••• I••••••••• S••••••• I••• unclassified
Mar 29, 2017 to Feb 7, 2018 · Portland, Or
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 13, 2017 to Jan 26, 2018 · Portland, Or

Moves

a registration end followed by a registration begin elsewhere

M••••••••• R••••••••• to N••••••••• I••••••••• A•••••••• L••
left Jul 25, 2023, registered Aug 3, 2023 (9 days) · Other
V••• R••••••••• A•••••••• L•• to M••••••••• R•••••••••
left Apr 18, 2022, registered Apr 27, 2022 (9 days) · Other
H•• I••••••••• I••••••••• S••••••• I••• to V••• R••••••••• A•••••••• L••
left Feb 7, 2018, registered Feb 21, 2018 (14 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to H•• I••••••••• I••••••••• S••••••• I•••
left Jan 26, 2018, registered Mar 29, 2017 (-303 days) · Other

Signals

P•••••• A•••••• C••••••• left M••••••••• R••••••••• for N••••••••• I••••••••• A•••••••• L•• (registered 2023-08-03)
Jul 25, 2023 · Advisor changed firm · fact
P•••••• A•••••• C••••••• left V••• R••••••••• A•••••••• L•• for M••••••••• R••••••••• (registered 2022-04-27)
Apr 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