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•••• T•••••

L•• F•••••••• L••BD affiliatedAllentown, Pa dual registrantIAPD 3092009

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

0 y

since Sep 29, 2025

In the industry

28 y

since Jul 25, 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

L•• F•••••••• L•• BD affiliated current
since Sep 29, 2025 · Allentown, Pa
S•••••••• S••••••••• BD affiliated
Mar 15, 2023 to Sep 26, 2025 · Kutztown, Pa
K•• I••••••••• S••••••• L•• BD affiliated
Nov 9, 2022 to Mar 9, 2023 · Harleysville, Pa
P•••• S••••••••• L•• no RAUM
May 5, 2022 to Nov 14, 2022 · Warrington, Pa
S•••••••• S••••••••• BD affiliated
Jun 13, 2019 to Apr 8, 2022 · Emmaus, Pa
C••••••• S••••••••• I••• BD affiliated
Feb 22, 2018 to Jun 6, 2019 · Brodheadsville, Pa
C••••• I••••••••• A••••••• L•• BD affiliated
Feb 9, 2016 to Aug 19, 2016 · Phillipsburg, Nj
S•••••••• S••••••••• BD affiliated
Dec 9, 2014 to Feb 17, 2016 · Bethlehem, Pa
C••• B•••••••• S•••••••• I••• former
Aug 12, 2009 to Nov 24, 2014 · Bethlehem, Pa
U•••• F•••••••• S••••••• G••••• I••• unclassified
Sep 26, 2008 to Aug 5, 2009 · King Of Prussia, Pa
M•• I•••••••• S•••••••• L•• BD affiliated
Jan 22, 2008 to Jul 22, 2008 · Center Valley, Pa
U•••• F•••••••• S••••••• G••••• I••• unclassified
Sep 20, 2006 to Jan 8, 2008 · Bangor, Pa
P•• W••••• M••••••••• BD affiliated
Sep 9, 2005 to Sep 21, 2006 · Phillipsburg, Nj

Moves

a registration end followed by a registration begin elsewhere

S•••••••• S••••••••• to L•• F•••••••• L••
left Sep 26, 2025, registered Sep 29, 2025 (3 days) · Affiliated broker-dealer or bank to another
K•• I••••••••• S••••••• L•• to S•••••••• S•••••••••
left Mar 9, 2023, registered Mar 15, 2023 (6 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to K•• I••••••••• S••••••• L••
left Nov 14, 2022, registered Nov 9, 2022 (-5 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to P•••• S••••••••• L••
left Apr 8, 2022, registered May 5, 2022 (27 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to S•••••••• S•••••••••
left Jun 6, 2019, registered Jun 13, 2019 (7 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Aug 19, 2016, registered Feb 22, 2018 (552 days) · Other
S•••••••• S••••••••• to C••••• I••••••••• A••••••• L••
left Feb 17, 2016, registered Feb 9, 2016 (-8 days) · Other
C••• B•••••••• S•••••••• I••• to S•••••••• S•••••••••
left Nov 24, 2014, registered Dec 9, 2014 (15 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to C••• B•••••••• S•••••••• I•••
left Aug 5, 2009, registered Aug 12, 2009 (7 days) · Other
M•• I•••••••• S•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
left Jul 22, 2008, registered Sep 26, 2008 (66 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to M•• I•••••••• S•••••••• L••
left Jan 8, 2008, registered Jan 22, 2008 (14 days) · Other
P•• W••••• M••••••••• to U•••• F•••••••• S••••••• G••••• I•••
left Sep 21, 2006, registered Sep 20, 2006 (-1 days) · Other

Signals

C•••• T••••• left S•••••••• S••••••••• for L•• F•••••••• L•• (registered 2025-09-29)
Sep 26, 2025 · Advisor changed firm · fact
C•••• T••••• left K•• I••••••••• S••••••• L•• for S•••••••• S••••••••• (registered 2023-03-15)
Mar 9, 2023 · Advisor changed firm · fact
C•••• T••••• left P•••• S••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2022-11-09)
Nov 14, 2022 · Advisor changed firm · fact
C•••• T••••• left S•••••••• S••••••••• for P•••• S••••••••• L•• (registered 2022-05-05)
Apr 8, 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: 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