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•••• A•••• R•••••

W•••• F•••• A•••••••wirehouseAllentown, Pa dual registrantIAPD 2631433

Feed of 09/15/2026

Also filed as S•••• A R•••••

At current firm

4 y

since Apr 19, 2022

In the industry

31 y

since Aug 21, 1995 (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•••• F•••• A••••••• wirehouse current
since Apr 19, 2022 · Allentown, Pa
P•• W••••• M••••••••• BD affiliated
Nov 18, 2013 to Apr 19, 2022 · Stroudsburg, Pa
M•• S••••••••• I••• unclassified
Jul 19, 2010 to Nov 6, 2013 · Cheektowaga, Ny
C•••• I••••••••• S••••••• C•••• former
Oct 30, 2009 to Jul 7, 2010 · Boonton, Nj
W•••• F•••• A••••••• wirehouse
Aug 9, 2004 to Jul 15, 2009 · Milford, Pa
C••••• I••••••••• S••••••• L•• former
Feb 27, 2003 to Aug 6, 2004 · Stroudsburg, Pa

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Apr 19, 2022, registered Apr 19, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
M•• S••••••••• I••• to P•• W••••• M•••••••••
left Nov 6, 2013, registered Nov 18, 2013 (12 days) · Other
C•••• I••••••••• S••••••• C•••• to M•• S••••••••• I•••
left Jul 7, 2010, registered Jul 19, 2010 (12 days) · Other
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Jul 15, 2009, registered Oct 30, 2009 (107 days) · Other
C••••• I••••••••• S••••••• L•• to W•••• F•••• A•••••••
left Aug 6, 2004, registered Aug 9, 2004 (3 days) · Other

Signals

S•••• A•••• R••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2022-04-19)
Apr 19, 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: Wirehousederived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address