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

R•••••• D•••• L••••

N••••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Ohdual registrantIAPD 6780400

Feed of 09/14/2026

Also filed as R•••••• D•••• L••••

At current firm

3 y

since Aug 18, 2023

In the industry

11 y

since May 1, 2015 (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 18, 2023 · Columbus, Oh
C••• R••••••••• P••• A••••••• S••••••• institutional
Mar 26, 2020 to Dec 31, 2021 · Phoenix, Az
C••• I••••••••• A••••••• S•••••••• L•• institutional
Mar 26, 2020 to Jun 14, 2023 · Cleveland, Oh
E•••••• F•••••••• E•••••• independent RIA
Oct 30, 2019 to Mar 11, 2020 · Phoenix, Az
S•••••••• F••••••••• I••• former
Apr 16, 2019 to Oct 9, 2019 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C••• I••••••••• A••••••• S•••••••• L•• to N••••••••• I••••••••• A•••••••• L••
left Jun 14, 2023, registered Aug 18, 2023 (65 days) · Other
C••• R••••••••• P••• A••••••• S••••••• to C••• I••••••••• A••••••• S•••••••• L••
left Dec 31, 2021, registered Mar 26, 2020 (-645 days) · channel change inside one enterprise, not a move
E•••••• F•••••••• E•••••• to C••• R••••••••• P••• A••••••• S•••••••
left Mar 11, 2020, registered Mar 26, 2020 (15 days) · Other
S•••••••• F••••••••• I••• to E•••••• F•••••••• E••••••
left Oct 9, 2019, registered Oct 30, 2019 (21 days) · Affiliated broker-dealer or bank to independent RIA

Signals

R•••••• D•••• L•••• left C••• I••••••••• A••••••• S•••••••• L•• for N••••••••• I••••••••• A•••••••• L•• (registered 2023-08-18)
Jun 14, 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: 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