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.
Feed of 09/14/2026
At current firm
11 y
since Apr 9, 2015
In the industry
32 y
since Feb 22, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Captrust institutional currentsince Apr 9, 2015 · Allentown, Pa
- Captrust Financial Advisors formerNov 5, 2010 to Apr 9, 2015 · Doylestown, Pa
- Walnut Street Securities, Inc. formerJul 1, 2009 to Oct 29, 2009 · Red Bank, Nj
- Nfp Advisor Services, LLC formerJan 14, 2008 to May 28, 2009 · Austin, Tx
- Mfp Strategies formerApr 18, 2007 to Oct 15, 2007 · Bethlehem, Pa
Moves
a registration end followed by a registration begin elsewhere
- Captrust Financial Advisors to Captrustleft Apr 9, 2015, registered Apr 9, 2015 (0 days) · corporate re-registration, not a move
- Walnut Street Securities, Inc. to Captrust Financial Advisorsleft Oct 29, 2009, registered Nov 5, 2010 (372 days) · Other
- Nfp Advisor Services, LLC to Walnut Street Securities, Inc.left May 28, 2009, registered Jul 1, 2009 (34 days) · Other
- Mfp Strategies to Nfp Advisor Services, LLCleft Oct 15, 2007, registered Jan 14, 2008 (91 days) · Other
Signals
No dated event on this person.
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
- Institutional managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address