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.
Feed of 09/14/2026
At current firm
2 y
since Nov 20, 2023
In the industry
24 y
since Sep 20, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Savvy independent RIA currentsince Nov 20, 2023 · New York, Ny
- LPL Financial LLC BD affiliatedAug 3, 2021 to Nov 30, 2023 · Islep Terrace, Ny
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Savvyleft Nov 30, 2023, registered Nov 20, 2023 (-10 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- Frank William Malpigli left Lpl Financial Llc for Savvy (registered 2023-11-20)Nov 30, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address