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•••••• A•••••

T•••••• C•••••• M•••••••••independent RIAMalvern, Pa IA-onlyIAPD 3070492

Feed of 09/15/2026

Also filed as S•••• A A•••••

At current firm

1 y

since Aug 26, 2025

In the industry

28 y

since Jul 30, 1998 (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

T•••••• C•••••• M••••••••• independent RIA current
since Aug 26, 2025 · Brookville, Ny
S••••• M••••••••• independent RIA
Dec 16, 2019 to Oct 23, 2025 · Great Neck, Ny
T••••••• F•••••••• S•••••••• L•• independent RIA
Apr 29, 2019 to Dec 26, 2019 · Holmdel, Nj
S•••••••• A••••••• L•• national BD
Jul 20, 2005 to Nov 3, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

S••••• M••••••••• to T•••••• C•••••• M•••••••••
left Oct 23, 2025, registered Aug 26, 2025 (-58 days) · RIA to RIA
T••••••• F•••••••• S•••••••• L•• to S••••• M•••••••••
left Dec 26, 2019, registered Dec 16, 2019 (-10 days) · RIA to RIA
S•••••••• A••••••• L•• to T••••••• F•••••••• S•••••••• L••
left Nov 3, 2009, registered Apr 29, 2019 (3464 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S•••• A•••••• A••••• left S••••• M••••••••• for T•••••• C•••••• M••••••••• (registered 2025-08-26)
Oct 23, 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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address