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

S••••• Y••••• T•••••

S•••••• F•••••••• G••••• L•••••independent RIAAkron, Oh IA-onlyIAPD 6531353

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••••• Y T•••••

At current firm

1 y

since Mar 31, 2025

In the industry

10 y

since Dec 31, 2015 (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

S•••••• F•••••••• G••••• L••••• independent RIA current
since Mar 31, 2025 · Akron, Oh
C•••••• C•••••• M••••••••• L•• former
Apr 6, 2023 to May 15, 2025 · Northfield, Mn
S••••• W••••• A••••••••• L•• former
Apr 27, 2021 to Mar 31, 2023 · Prior Lake, Mn
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Feb 27, 2019 · Boston, Ma
S•••••••• A••••••• L•• national BD
Dec 7, 2017 to Jul 13, 2018 · Carmel, In
C•••••• S••••• • C••• I••• national BD
Jan 1, 2016 to Apr 22, 2016 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• C•••••• M••••••••• L•• to S•••••• F•••••••• G••••• L•••••
left May 15, 2025, registered Mar 31, 2025 (-45 days) · corporate re-registration, not a move
S••••• W••••• A••••••••• L•• to C•••••• C•••••• M••••••••• L••
left Mar 31, 2023, registered Apr 6, 2023 (6 days) · RIA to RIA
F••••••• P••••••• A•• W•••••••• A••••••• to S••••• W••••• A••••••••• L••
left Feb 27, 2019, registered Apr 27, 2021 (790 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Apr 22, 2016, registered Dec 7, 2017 (594 days) · Affiliated broker-dealer or bank to another

Signals

S••••• Y••••• T••••• left S••••• W••••• A••••••••• L•• for C•••••• C•••••• M••••••••• L•• (registered 2023-04-06)
Mar 31, 2023 · 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address