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

A••••••• E•••••••• R•••••

C••••• I••••••••• A••••••• L••BD affiliatedTowson, Md dual registrantIAPD 3073899

Feed of 09/15/2026

At current firm

2 y

since Jan 18, 2024

In the industry

28 y

since Sep 3, 1998 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Jan 18, 2024 · Warrenton, Va
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jan 8, 2020 to Jan 17, 2024 · Germantown, Md
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 24, 2017 to Jan 2, 2020 · Kingston, Ma
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 12, 2009 to Apr 24, 2017 · Wellington, Fl
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
May 4, 2005 to Oct 10, 2009 · Palm Beach, Fl
W•••• F•••• A••••••• wirehouse
Feb 1, 2001 to Jan 4, 2005 · Palm Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

T••••••• I••••••••• M••••••••• I••• to C••••• I••••••••• A••••••• L••
left Jan 17, 2024, registered Jan 18, 2024 (1 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Jan 2, 2020, registered Jan 8, 2020 (6 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••
left Apr 24, 2017, registered Apr 24, 2017 (0 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 10, 2009, registered Jun 12, 2009 (-120 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Jan 4, 2005, registered May 4, 2005 (120 days) · Other

Signals

A••••••• E•••••••• R••••• left T••••••• I••••••••• M••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-01-18)
Jan 17, 2024 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address