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

B•••• D•••••• T••••••

L•• F•••••••• L••BD affiliatedReading, Padual registrantIAPD 1420176

Feed of 09/14/2026

Also filed as B D•••••• T••••••

At current firm

2 y

since Aug 15, 2024

In the industry

40 y

since Apr 3, 1986 (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

L•• F•••••••• L•• BD affiliated current
since Aug 15, 2024 · Reading, Pa
A••••••• P••••••••• A•••••••• I•• former
Feb 11, 2020 to Aug 16, 2024 · Holbrook, Ny
B••• S••••••••• L•• former
Jan 2, 2018 to Feb 10, 2020 · Elverson, Pa
B••• I••••••••• S•••••••• I••• former
Jul 13, 2016 to Jan 2, 2018 · Elverson, Pa
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Jul 12, 2016 · Pottstown, Pa
C••••• I••••••••• S••••••• L•• former
May 1, 2012 to Jan 21, 2014 · Pottstown, Pa
N••••••••• S••••••••• L•• no RAUM
Apr 29, 2010 to May 1, 2012 · Boyertown, Pa

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to L•• F•••••••• L••
left Aug 16, 2024, registered Aug 15, 2024 (-1 days) · Affiliated broker-dealer or bank to another
B••• S••••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Feb 10, 2020, registered Feb 11, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA
B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
C••••• I••••••••• A••••••• L•• to B••• I••••••••• S•••••••• I•••
left Jul 12, 2016, registered Jul 13, 2016 (1 days) · Other · moved with a team
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
N••••••••• S••••••••• L•• to C••••• I••••••••• S••••••• L••
left May 1, 2012, registered May 1, 2012 (0 days) · Other

Signals

B•••• D•••••• T•••••• left A••••••• P••••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2024-08-15)
Aug 16, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address