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•••••• C•••••• I••

L•• F•••••••• L••BD affiliatedMoon Twp, Padual registrantIAPD 2569669

Feed of 09/14/2026

Also filed as R•••••• C•••••• I••

At current firm

2 y

since Nov 30, 2023

In the industry

31 y

since Dec 23, 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

L•• F•••••••• L•• BD affiliated current
since Nov 30, 2023 · Moon Twp, Pa
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 14, 2022 to Dec 8, 2023 · Moon Twp., Pa
C••••••• • C••• I••• former
Mar 24, 2022 to Jun 1, 2023 · Moon Township, Pa
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Nov 27, 2017 to Apr 4, 2022 · Moon Township, Pa
C••••••• • C••• I••• former
Aug 31, 2005 to Dec 8, 2017 · Moon Twp., Pa
J• C•••• F••••••••• I••• unclassified
Jun 22, 2005 to Dec 9, 2011 · Moon Twp, Pa
K••••• • A••••••••• I••• unclassified
Oct 10, 2001 to Sep 13, 2005 · Wexford, Pa

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left Dec 8, 2023, registered Nov 30, 2023 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 1, 2023, registered Dec 14, 2022 (-169 days) · corporate re-registration, not a move
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••• • C••• I•••
left Apr 4, 2022, registered Mar 24, 2022 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 8, 2017, registered Nov 27, 2017 (-11 days) · Other
J• C•••• F••••••••• I••• to C••••••• • C••• I•••
left Dec 9, 2011, registered Aug 31, 2005 (-2291 days) · Other
K••••• • A••••••••• I••• to J• C•••• F••••••••• I•••
left Sep 13, 2005, registered Jun 22, 2005 (-83 days) · Other

Signals

R•••••• C•••••• I•• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-11-30)
Dec 8, 2023 · Advisor changed firm · fact
R•••••• C•••••• I•• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••• • C••• I••• (registered 2022-03-24)
Apr 4, 2022 · 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address