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

J•••• M••••••• S••••

E•••• F•••••••• G••••• L••independent RIAKing Of Prussia, PaIA-onlyIAPD 3264198

Feed of 09/14/2026

At current firm

4 y

since Aug 28, 2022

In the industry

26 y

since Nov 22, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• F•••••••• G••••• L•• independent RIA current
since Aug 28, 2022 · King Of Prussia, Pa
A••••••• I••••••••• P••••••• independent RIA
Mar 1, 2019 to Aug 26, 2022 · Newtown Square, Pa
W•••• F•••• A••••••• wirehouse
Jan 20, 2016 to Feb 19, 2019 · Radnor, Pa
C••••• S••••• S••••••••• •••• L•• former
Apr 13, 2009 to Feb 10, 2016 · West Conshohocken, Pa
D••••••• B••• S••••••••• I••• no RAUM
Feb 26, 2008 to Apr 9, 2009 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

A••••••• I••••••••• P••••••• to E•••• F•••••••• G••••• L••
left Aug 26, 2022, registered Aug 28, 2022 (2 days) · RIA to a newly registered adviser · moved with a team
W•••• F•••• A••••••• to A••••••• I••••••••• P•••••••
left Feb 19, 2019, registered Mar 1, 2019 (10 days) · Wirehouse to independent RIA · moved with a team
C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••
left Feb 10, 2016, registered Jan 20, 2016 (-21 days) · Other · moved with a team
D••••••• B••• S••••••••• I••• to C••••• S••••• S••••••••• •••• L••
left Apr 9, 2009, registered Apr 13, 2009 (4 days) · Other

Signals

J•••• M••••••• S•••• left A••••••• I••••••••• P••••••• for E•••• F•••••••• G••••• L•• (registered 2022-08-28)
Aug 26, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address