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•••• F••••

P•• W••••• M•••••••••BD affiliatedDublin, Oh dual registrantIAPD 6731307

Feed of 09/14/2026

Also filed as C•••• F••••

At current firm

0 y

since Jan 29, 2026

In the industry

11 y

since Nov 1, 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

P•• W••••• M••••••••• BD affiliated current
since Jan 29, 2026 · Dublin, Oh
J••• M••••• S••••••••• L•• wirehouse
Feb 7, 2022 to Jan 26, 2026 · Hilliard, Oh
W••••••• F•••••••• S•••••••• I••• former
May 18, 2021 to Jun 14, 2021 · Bascom, Oh
T••••••••• F•••••••• A•••••••• L•• BD affiliated
May 14, 2021 to May 19, 2021 · Johns Creek, Ga
H••••••••• F•••••••• A••••••• BD affiliated
Dec 24, 2019 to Feb 9, 2021 · Columbus, Oh
G••• L••• A•••••••• L•• independent RIA
Feb 11, 2019 to Dec 16, 2019 · Greenville, Sc
L•• F•••••••• L•• BD affiliated
Feb 8, 2019 to Feb 8, 2019 · Greenville, Sc
W•••• F•••• A••••••• wirehouse
Mar 14, 2017 to Oct 3, 2018 · Greenville, Sc

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••
left Jan 26, 2026, registered Jan 29, 2026 (3 days) · Wirehouse to affiliated broker-dealer or bank
W••••••• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
left Jun 14, 2021, registered Feb 7, 2022 (238 days) · Affiliated broker-dealer or bank to wirehouse
T••••••••• F•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left May 19, 2021, registered May 18, 2021 (-1 days) · Affiliated broker-dealer or bank to another
H••••••••• F•••••••• A••••••• to T••••••••• F•••••••• A•••••••• L••
left Feb 9, 2021, registered May 14, 2021 (94 days) · Affiliated broker-dealer or bank to another
G••• L••• A•••••••• L•• to H••••••••• F•••••••• A•••••••
left Dec 16, 2019, registered Dec 24, 2019 (8 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to G••• L••• A•••••••• L••
left Feb 8, 2019, registered Feb 11, 2019 (3 days) · RIA to RIA
W•••• F•••• A••••••• to L•• F•••••••• L••
left Oct 3, 2018, registered Feb 8, 2019 (128 days) · Wirehouse to independent RIA · moved with a team

Signals

C•••• F•••• left J••• M••••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2026-01-29)
Jan 26, 2026 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address