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•••• J••••• R••

M••••••• P•••••• W•••••• L••independent RIAPhiladelphia, Pa IA-onlyIAPD 2865667

Personal Financial Specialist

Feed of 09/15/2026

At current firm

1 y

since Dec 5, 2024

In the industry

29 y

since Apr 26, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••••• P•••••• W•••••• L•• independent RIA current
since Dec 5, 2024 · Presto, Pa
R• W••••• A•••••••• L•• unclassified
Nov 5, 2018 to Dec 31, 2024 · Presto, Pa
F••••••• F•••••••• A••••••• independent RIA
Jun 7, 2005 to Oct 1, 2010 · Bridgeville, Pa
W•••••• P•••••• W••••• independent RIA
Oct 29, 2004 to Jan 24, 2022 · Bridgeville, Pa

Moves

a registration end followed by a registration begin elsewhere

R• W••••• A•••••••• L•• to M••••••• P•••••• W•••••• L••
left Dec 31, 2024, registered Dec 5, 2024 (-26 days) · Other
W•••••• P•••••• W••••• to F••••••• F•••••••• A•••••••
left Jan 24, 2022, registered Jun 7, 2005 (-6075 days) · Other
F••••••• F•••••••• A••••••• to R• W••••• A•••••••• L••
left Oct 1, 2010, registered Nov 5, 2018 (2957 days) · Other

Signals

C•••• J••••• R•• left R• W••••• A•••••••• L•• for M••••••• P•••••• W•••••• L•• (registered 2024-12-05)
Dec 31, 2024 · Advisor changed firm · fact
C•••• J••••• R•• left W•••••• P•••••• W••••• for F••••••• F•••••••• A••••••• (registered 2005-06-07)
Jan 24, 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: Independent wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address