DFX Intelligence

D••••• J••••• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

D••••• J••••• F••••

Advisor at T••••• A••••••• S•••••••• I•••

NAZARETH, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Feb 17, 2021	n/a	yes	NAZARETH, PA	Current employment
B••• S••••••••• L••	Former SEC adviser	Jan 2, 2018	Feb 17, 2021	no	ALLENTOWN, PA\|EASTON, PA\|CHARLOTTE, NC\|ALLENTOWN, PA\|NAZARETH, PA\|WIND GAP, PA\|RICHMOND, VA\|SEVERNA PARK, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• S••••••••• L••	T••••• A••••••• S•••••••• I•••	Feb 17, 2021	Feb 17, 2021	0	Bulk transfer	Ibd to ibd
B••• I••••••••• S•••••••• I•••	B••• S••••••••• L••	Jan 2, 2018	Jan 2, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:33856:PA:2016-07-12	Jul 12, 2016	Jul 13, 2016	NAZARETH, PA	Firm change

Relationships

Registered with (6)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Feb 17, 2021 to presentfactForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Jan 2, 2018 to Feb 17, 2021factForm ADV
→ B••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 13, 2016 to Jan 2, 2018factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 10, 2004
Last observed: Sep 14, 2026 10 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.