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.

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Registered advisor

C••• J• S•••••••

Y•• W••••• M•••••••••state registeredKalida, OhIA-onlyIAPD 6486587

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Mar 13, 2026

In the industry

14 y

since Aug 1, 2012 (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

Y•• W••••• M••••••••• state registered current
since Mar 13, 2026 · Kalida, Oh
O•••• W•••••• I••• BD affiliated
Nov 13, 2025 to Feb 4, 2026 · Gahanna, Oh
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jun 11, 2020 to Nov 20, 2025 · Gahanna, Oh

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to Y•• W••••• M•••••••••
left Feb 4, 2026, registered Mar 13, 2026 (37 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
C•••••••• I••••••••• R••••••• A•••••••• I••• to O•••• W•••••• I•••
left Nov 20, 2025, registered Nov 13, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

C••• J• S••••••• left O•••• W•••••• I••• for Y•• W••••• M••••••••• (registered 2026-03-13)
Feb 4, 2026 · Advisor changed firm · fact
C••• J• S••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for O•••• W•••••• I••• (registered 2025-11-13)
Nov 20, 2025 · 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: STATE REGISTEREDderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address