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•••••• T••• W•••••

V••••••••• A••••••• S•••••••BD affiliatedBryn Mawr, Pa dual registrantIAPD 2368039

Feed of 09/15/2026

At current firm

2 y

since Apr 15, 2024

In the industry

33 y

since Aug 2, 1993 (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

V••••••••• A••••••• S••••••• BD affiliated current
since Apr 15, 2024 · Woodbury, Ny
K•••••••• W••••• A•••••••• L•• BD affiliated
Feb 29, 2024 to Apr 3, 2024 · New York, Ny
A•••• C•••••• C•••• BD affiliated
Jul 16, 2020 to Mar 28, 2024 · Bryn Mawr, Pa
R•• C•••••• M••••••• L•• national BD
Mar 18, 2015 to Jun 3, 2020 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

K•••••••• W••••• A•••••••• L•• to V••••••••• A••••••• S•••••••
left Apr 3, 2024, registered Apr 15, 2024 (12 days) · Affiliated broker-dealer or bank to another
A•••• C•••••• C•••• to K•••••••• W••••• A•••••••• L••
left Mar 28, 2024, registered Feb 29, 2024 (-28 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to A•••• C•••••• C••••
left Jun 3, 2020, registered Jul 16, 2020 (43 days) · Affiliated broker-dealer or bank to another

Signals

S•••••• T••• W••••• left K•••••••• W••••• A•••••••• L•• for V••••••••• A••••••• S••••••• (registered 2024-04-15)
Apr 3, 2024 · Advisor changed firm · fact
S•••••• T••• W••••• left A•••• C•••••• C•••• for K•••••••• W••••• A•••••••• L•• (registered 2024-02-29)
Mar 28, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address