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••• T••••• S••••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedToledo, Ohdual registrantIAPD 7244665

Feed of 09/14/2026

At current firm

2 y

since Sep 16, 2024

In the industry

10 y

since Aug 1, 2016 (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•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Sep 16, 2024 · Toledo, Oh
A••••••• A••••••• S•••••••• L•• BD affiliated
May 27, 2022 to Sep 18, 2024 · Toledo, Oh
C••• B•••••••• S•••••••• I••• former
Jan 11, 2022 to Apr 18, 2022 · Maumee, Oh
T•• B••••• L••• W••••• M••••••••• L••• state registered
Mar 19, 2021 to Jun 10, 2021 · Toledo, Oh
T••••••• I••••••••• M••••••••• I••• BD affiliated
Aug 18, 2020 to Oct 8, 2020 · Carmel, In

Moves

a registration end followed by a registration begin elsewhere

A••••••• A••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Sep 18, 2024, registered Sep 16, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
C••• B•••••••• S•••••••• I••• to A••••••• A••••••• S•••••••• L••
left Apr 18, 2022, registered May 27, 2022 (39 days) · Affiliated broker-dealer or bank to another
T•• B••••• L••• W••••• M••••••••• L••• to C••• B•••••••• S•••••••• I•••
left Jun 10, 2021, registered Jan 11, 2022 (215 days) · Other
T••••••• I••••••••• M••••••••• I••• to T•• B••••• L••• W••••• M••••••••• L•••
left Oct 8, 2020, registered Mar 19, 2021 (162 days) · Affiliated broker-dealer or bank to a state-registered adviser

Signals

C••• T••••• S•••••••• left A••••••• A••••••• S•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-09-16)
Sep 18, 2024 · Advisor changed firm · fact
C••• T••••• S•••••••• left C••• B•••••••• S•••••••• I••• for A••••••• A••••••• S•••••••• L•• (registered 2022-05-27)
Apr 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address