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

S••••• P••• S••••••

J••••• M••••••••• S•••• L••BD affiliatedRoyersford, Padual registrantIAPD 1243604

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••••• P••• S••••••

At current firm

6 y

since Jun 30, 2020

In the industry

42 y

since May 5, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••••• M••••••••• S•••• L•• BD affiliated current
since Jun 30, 2020 · Royersford, Pa
W•••• F•••• A••••••• wirehouse
Mar 19, 2010 to Jul 1, 2020 · Collegeville, Pa
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 14, 2010 · Berwyn, Pa
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 16, 2007 to Jun 1, 2009 · Berwyn, Pa
J••••• M••••••••• S•••• L•• BD affiliated
Aug 4, 2005 to Apr 10, 2007 · Bala Cynwyd, Pa

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••
left Jul 1, 2020, registered Jun 30, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to W•••• F•••• A•••••••
left Apr 14, 2010, registered Mar 19, 2010 (-26 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
J••••• M••••••••• S•••• L•• to C•••••••• G••••• M•••••• I•••
left Apr 10, 2007, registered Mar 16, 2007 (-25 days) · Other

Signals

No dated event on this person.

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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address