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••• E••••

R•••••• J•••• • A••••••••• I•••national BDSt. Petersburg, Fl dual registrantIAPD 6391817

Feed of 09/15/2026

Also filed as C••• E••••

At current firm

0 y

since Oct 30, 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

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Oct 30, 2025 · Menasha, Wi
A••••••••• I••••••••• S•••••••• I••• independent RIA
Mar 29, 2022 to Jun 3, 2025 · Appleton, Wi
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jan 7, 2019 to Mar 30, 2022 · Appleton, Wi
P•••• S••••••••• L•• no RAUM
Jul 31, 2015 to Sep 15, 2017 · Wauwatosa, Wi

Moves

a registration end followed by a registration begin elsewhere

A••••••••• I••••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Jun 3, 2025, registered Oct 30, 2025 (149 days) · RIA to affiliated broker-dealer or bank
T••••••• I••••••••• M••••••••• I••• to A••••••••• I••••••••• S•••••••• I•••
left Mar 30, 2022, registered Mar 29, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
P•••• S••••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Sep 15, 2017, registered Jan 7, 2019 (479 days) · Other

Signals

C••• E•••• left A••••••••• I••••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-10-30)
Jun 3, 2025 · Advisor changed firm · fact
C••• E•••• left T••••••• I••••••••• M••••••••• I••• for A••••••••• I••••••••• S•••••••• I••• (registered 2022-03-29)
Mar 30, 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address