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.
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Registered advisor
T••••• S••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as T••••• Edward S••••••
At current firm
1 y
since Apr 8, 2025
In the industry
34 y
since Jul 2, 1992 (earliest exam, job or registration)
Prior registered firms
12
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 8, 2025 · Pittsville, Md
- E••••• J•••• national BDApr 4, 2022 to Apr 9, 2025 · Pittsville, Md
- A••••••• W••••• M••••••••• state registeredMar 18, 2019 to Nov 18, 2021 · Easton, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 18, 2018 to Jul 30, 2018 · Berlin, Md
- L•••••• A••••••• I••••••••• independent RIADec 1, 2017 to Apr 18, 2018 · Berlin, Md
- P•• W••••• M••••••••• BD affiliatedJan 28, 2014 to Dec 3, 2015 · Catonsville, Md
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 17, 2011 to Aug 1, 2012 · Linthicum Heights, Md
- S••••••• F•••••••• S•••••••• I••• formerApr 29, 2011 to Jul 15, 2011 · Rockville, Md
- L•• F•••••••• L•• BD affiliatedOct 1, 2009 to Apr 19, 2011 · Stevensville, Md
- P•• W••••• M••••••••• BD affiliatedOct 22, 2008 to Oct 2, 2009 · Annapolis, Md
- S••••••• I••••••••• S•••••••• I••• formerFeb 28, 2007 to Oct 20, 2008 · Severna Park, Md
- L•• F•••••••• L•• BD affiliatedJan 6, 2006 to Mar 12, 2007 · Annapolis, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMar 13, 1998 to Jan 27, 2006 · Annapolis, Md
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• F•••••••• L••left Apr 9, 2025, registered Apr 8, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- A••••••• W••••• M••••••••• to E••••• J••••left Nov 18, 2021, registered Apr 4, 2022 (137 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••• W••••• M•••••••••left Jul 30, 2018, registered Mar 18, 2019 (231 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•••••• A••••••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 18, 2018, registered Apr 18, 2018 (0 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to L•••••• A••••••• I•••••••••left Dec 3, 2015, registered Dec 1, 2017 (729 days) · Other
- V•••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Aug 1, 2012, registered Jan 28, 2014 (545 days) · Other
- S••••••• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jul 15, 2011, registered Nov 17, 2011 (125 days) · Other
- L•• F•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Apr 19, 2011, registered Apr 29, 2011 (10 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Oct 2, 2009, registered Oct 1, 2009 (-1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Oct 20, 2008, registered Oct 22, 2008 (2 days) · Other
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Mar 12, 2007, registered Feb 28, 2007 (-12 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to L•• F•••••••• L••left Jan 27, 2006, registered Jan 6, 2006 (-21 days) · Other
Signals
- T••••• S•••••• left E••••• J•••• for L•• F•••••••• L•• (registered 2025-04-08)Apr 9, 2025 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address