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

R••••• P•••••• G•••

W•••••• S••••••••• I•••BD affiliatedRadnor, Pa dual registrantIAPD 2404760

Feed of 09/14/2026

At current firm

1 y

since Mar 25, 2025

In the industry

32 y

since Dec 22, 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

W•••••• S••••••••• I••• BD affiliated current
since Mar 25, 2025 · Middleburg, Va
M••••• S•••••• wirehouse
Jun 29, 2010 to Apr 7, 2025 · Alexandria, Va
S•••••••• A••••••• L•• national BD
Mar 4, 2008 to Apr 9, 2010 · Tysons Corner, Va
E••••• J•••• national BD
Jan 10, 2008 to Jan 28, 2008 · Maryville, Tn
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 21, 2006 to Jan 24, 2008 · Alexandria, Va
L••• M•••• W••• W•••••• I••••••••• unclassified
Aug 6, 2001 to Feb 21, 2006 · Alexandria, Va

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to W•••••• S••••••••• I•••
left Apr 7, 2025, registered Mar 25, 2025 (-13 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to M••••• S••••••
left Apr 9, 2010, registered Jun 29, 2010 (81 days) · Affiliated broker-dealer or bank to wirehouse
E••••• J•••• to S•••••••• A••••••• L••
left Jan 28, 2008, registered Mar 4, 2008 (36 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to E••••• J••••
left Jan 24, 2008, registered Jan 10, 2008 (-14 days) · Other
L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

Signals

R••••• P•••••• G••• left M••••• S•••••• for W•••••• S••••••••• I••• (registered 2025-03-25)
Apr 7, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address