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

P•••• D••••• S••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseLancaster, Padual registrantIAPD 1282107

Feed of 09/14/2026

Also filed as P•••• Ronald S••••••

At current firm

2 y

since Aug 15, 2024

In the industry

42 y

since Jul 30, 1984 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Aug 15, 2024 · Lancaster, Pa
S•••••• N••••••• • C••••••• I••••••••• national BD
Apr 18, 2018 to Aug 30, 2024 · Lancaster, Pa
J••••• M••••••••• S•••• L•• BD affiliated
Nov 26, 2008 to Apr 23, 2018 · Lancaster, Pa
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 20, 1995 to Dec 15, 2008 · Lancaster, Pa

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 30, 2024, registered Aug 15, 2024 (-15 days) · Affiliated broker-dealer or bank to wirehouse
J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Apr 23, 2018, registered Apr 18, 2018 (-5 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to J••••• M••••••••• S•••• L••
left Dec 15, 2008, registered Nov 26, 2008 (-19 days) · Other

Signals

P•••• D••••• S•••••• left S•••••• N••••••• • C••••••• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-08-15)
Aug 30, 2024 · 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: Wirehousederived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address