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••• O••••

C••••••• S••••••••• I•••BD affiliatedConshohocken, Pa dual registrantIAPD 2955624

Feed of 09/15/2026

Also filed as R••••• C••• O••••

At current firm

2 y

since Jun 20, 2024

In the industry

28 y

since Oct 9, 1997 (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

C••••••• S••••••••• I••• BD affiliated current
since Jun 20, 2024 · Wilkes-Barre, Pa
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Apr 5, 2024 · Jim Thorpe, Pa
C••••• A•••••• N••••••• L•• former
Aug 19, 2016 to Jun 29, 2023 · Jim Thorpe, Pa
A••••••• F•••••••• A•••••••• L•• BD affiliated
Aug 20, 2014 to Aug 9, 2016 · Scranton, Pa
S••••••• I••••••••• A••••••• L••• independent RIA
Feb 29, 2008 to Aug 15, 2014 · Wilkes-Barre, Pa
P••••••• C•••••• M••••••••• L•• unclassified
Mar 28, 2002 to Feb 13, 2007 · Media, Pa
C••••• F•••••••• A•••••••• L•• unclassified
Mar 26, 2002 to May 9, 2002 · Media, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Apr 5, 2024, registered Jun 20, 2024 (76 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
A••••••• F•••••••• A•••••••• L•• to C••••• A•••••• N••••••• L••
left Aug 9, 2016, registered Aug 19, 2016 (10 days) · Other
S••••••• I••••••••• A••••••• L••• to A••••••• F•••••••• A•••••••• L••
left Aug 15, 2014, registered Aug 20, 2014 (5 days) · Other
P••••••• C•••••• M••••••••• L•• to S••••••• I••••••••• A••••••• L•••
left Feb 13, 2007, registered Feb 29, 2008 (381 days) · Other
C••••• F•••••••• A•••••••• L•• to P••••••• C•••••• M••••••••• L••
left May 9, 2002, registered Mar 28, 2002 (-42 days) · Other

Signals

R••••• C••• O•••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2024-06-20)
Apr 5, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address