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

D•••• B••••

C••••••••• S••••••••• L••BD affiliatedOverland Park, Ks dual registrantIAPD 2435166

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

3 y

since Mar 28, 2023

In the industry

32 y

since Jan 13, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• S••••••••• L•• BD affiliated current
since Mar 28, 2023 · Overland Park, Ks
S••••••••• A•••••• A•••••••• I••• former
Feb 22, 2019 to Apr 20, 2023 · Bala Cynwyd, Pa
Q•••••• A•••• M••••••••• I••• former
Oct 18, 2017 to Feb 26, 2019 · Bala Cynwyd, Pa
O•••• F•• I••• former
Apr 4, 2016 to Oct 30, 2017 · Berwyn, Pa
C••••• A•••••• N••••••• L•• former
Feb 26, 2013 to Apr 4, 2016 · El Segundo, Ca
W••••••• F•••••••• S•••••••• I••• former
Aug 24, 2010 to Feb 27, 2013 · Bala Cynwyd, Pa
L•• F•••••••• L•• BD affiliated
Oct 7, 2008 to Aug 31, 2010 · Bala Cynwyd, Pa
H•••••• T••••••• • K•••• L•• independent RIA
Mar 16, 2004 to Oct 20, 2008 · Plymouth Meeting, Pa

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to C••••••••• S••••••••• L••
left Apr 20, 2023, registered Mar 28, 2023 (-23 days) · Affiliated broker-dealer or bank to another
Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Feb 26, 2019, registered Feb 22, 2019 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
O•••• F•• I••• to Q•••••• A•••• M••••••••• I•••
left Oct 30, 2017, registered Oct 18, 2017 (-12 days) · Other
C••••• A•••••• N••••••• L•• to O•••• F•• I•••
left Apr 4, 2016, registered Apr 4, 2016 (0 days) · Other
W••••••• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••
left Feb 27, 2013, registered Feb 26, 2013 (-1 days) · Other
L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Aug 31, 2010, registered Aug 24, 2010 (-7 days) · Other
H•••••• T••••••• • K•••• L•• to L•• F•••••••• L••
left Oct 20, 2008, registered Oct 7, 2008 (-13 days) · Other

Signals

D•••• B•••• left S••••••••• A•••••• A•••••••• I••• for C••••••••• S••••••••• L•• (registered 2023-03-28)
Apr 20, 2023 · a•••••• firm change · 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