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.

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Registered advisor

M•••••• M••• M••••••

J• W• C••• A•••••••• I•••BD affiliatedTampa, Fl dual registrantIAPD 4078316

Feed of 09/14/2026

At current firm

1 y

since Feb 24, 2025

In the industry

26 y

since Mar 16, 2000 (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

J• W• C••• A•••••••• I••• BD affiliated current
since Feb 24, 2025 · Tampa, Fl
O•••• W•••••• I••• BD affiliated
Nov 2, 2018 to Feb 26, 2025 · Nazareth, Pa
S••••••• I••••••••• I••• former
Nov 9, 2017 to Nov 2, 2018 · Allentown, Pa
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to Nov 13, 2017 · Allentown, Pa
M•• F•••••••• S•••••••• I••• former
Jul 17, 2012 to Mar 25, 2017 · Allentown, Pa

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to J• W• C••• A•••••••• I•••
left Feb 26, 2025, registered Feb 24, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
M•• I•••••••• S•••••••• L•• to S••••••• I••••••••• I•••
left Nov 13, 2017, registered Nov 9, 2017 (-4 days) · Other · moved with a team
M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move

Signals

M•••••• M••• M•••••• left O•••• W•••••• I••• for J• W• C••• A•••••••• I••• (registered 2025-02-24)
Feb 26, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address