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

C•••• D••• M••••

P•••••• A•••••• G••••• L••BD affiliatedMorristown, Nj IA-onlyIAPD 2847838

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Jul 29, 2025

In the industry

29 y

since Apr 7, 1997 (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

P•••••• A•••••• G••••• L•• BD affiliated current
since Jul 29, 2025 · Morristown, Nj
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Aug 8, 2025 · Normal, Il
E••••••••• A•••••••• I••• independent RIA
Jan 5, 2018 to Aug 1, 2025 · Oak Brook, Il
C••••• A••••••• L•• former
Apr 25, 2008 to Mar 21, 2024 · Normal, Il
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 28, 1997 to May 1, 2008 · Bloomington, Il

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to P•••••• A•••••• G••••• L••
left Aug 8, 2025, registered Jul 29, 2025 (-10 days) · Affiliated broker-dealer or bank to another
E••••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 1, 2025, registered Mar 21, 2024 (-498 days) · RIA to affiliated broker-dealer or bank
C••••• A••••••• L•• to E••••••••• A•••••••• I•••
left Mar 21, 2024, registered Jan 5, 2018 (-2267 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C•••••••• G••••• M•••••• I••• to C••••• A••••••• L••
left May 1, 2008, registered Apr 25, 2008 (-6 days) · Other

Signals

C•••• D••• M•••• left C••••• I••••••••• A••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2025-07-29)
Aug 8, 2025 · a•••••• firm change · fact
C•••• D••• M•••• left E••••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
Aug 1, 2025 · a•••••• firm change · fact
C•••• D••• M•••• left C••••• A••••••• L•• for E••••••••• A•••••••• I••• (registered 2018-01-05)
Mar 21, 2024 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address