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

B•••• D•••••• C•••••••

V••••••• A•••••••• I•••BD affiliatedMalvern, Padual registrantIAPD 2703000

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••• D C•••••••

At current firm

1 y

since Mar 19, 2025

In the industry

30 y

since Mar 11, 1996 (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

V••••••• A•••••••• I••• BD affiliated current
since Mar 19, 2025 · Malvern, Pa
B••• M••• T•••• A•••••••• L•• independent RIA
May 10, 2024 to Feb 28, 2025 · Berwyn, Pa
P•• W••••• M••••••••• BD affiliated
Jan 6, 2009 to Jun 14, 2013 · Frazer, Pa
C•• F••• A•••••••• I••• unclassified
Jan 6, 2005 to Mar 28, 2008 · Wynnewood, Pa
C••••••• S••••••••• I••• BD affiliated
May 2, 2003 to Dec 10, 2003 · King Of Prussia, Pa

Moves

a registration end followed by a registration begin elsewhere

B••• M••• T•••• A•••••••• L•• to V••••••• A•••••••• I•••
left Feb 28, 2025, registered Mar 19, 2025 (19 days) · RIA to affiliated broker-dealer or bank
P•• W••••• M••••••••• to B••• M••• T•••• A•••••••• L••
left Jun 14, 2013, registered May 10, 2024 (3983 days) · Other
C•• F••• A•••••••• I••• to P•• W••••• M•••••••••
left Mar 28, 2008, registered Jan 6, 2009 (284 days) · Other
C••••••• S••••••••• I••• to C•• F••• A•••••••• I•••
left Dec 10, 2003, registered Jan 6, 2005 (393 days) · Other

Signals

B•••• D•••••• C••••••• left B••• M••• T•••• A•••••••• L•• for V••••••• A•••••••• I••• (registered 2025-03-19)
Feb 28, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address