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

M••••••• Z••••••

C••••••• S••••••••• I•••BD affiliatedConshohocken, Pa dual registrantIAPD 4144384

Feed of 09/15/2026

Also filed as M••••••• Z••••••

At current firm

3 y

since Nov 14, 2022

In the industry

26 y

since Mar 28, 2000 (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

C••••••• S••••••••• I••• BD affiliated current
since Nov 14, 2022 · Southampton, Pa
H••••• A••••••• independent RIA
Sep 28, 2020 to Nov 1, 2022 · Boston, Ma
S•••••••• S••••••••• BD affiliated
Apr 7, 2017 to Aug 28, 2020 · Villanova, Pa
N••• F•••••• I••••••••• S•••••••• L•• BD affiliated
Jan 4, 2017 to Mar 27, 2017 · Horsham, Pa
N••• F•••••• A•••• M••••••••• L•• former
Mar 26, 2012 to Jan 4, 2017 · Vienna, Va
V••• F•••••••• A•••••••• I••• BD affiliated
Feb 5, 2008 to Jun 28, 2011 · Elkins Park, Pa
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Oct 25, 2007 · Blue Bell, Pa
Q•••• • R•••••• I••• unclassified
Jun 16, 2003 to Oct 20, 2004 · Haddonfield, Nj

Moves

a registration end followed by a registration begin elsewhere

H••••• A••••••• to C••••••• S••••••••• I•••
left Nov 1, 2022, registered Nov 14, 2022 (13 days) · RIA to affiliated broker-dealer or bank
S•••••••• S••••••••• to H••••• A•••••••
left Aug 28, 2020, registered Sep 28, 2020 (31 days) · Affiliated broker-dealer or bank to independent RIA
N••• F•••••• I••••••••• S•••••••• L•• to S•••••••• S•••••••••
left Mar 27, 2017, registered Apr 7, 2017 (11 days) · Other
N••• F•••••• A•••• M••••••••• L•• to N••• F•••••• I••••••••• S•••••••• L••
left Jan 4, 2017, registered Jan 4, 2017 (0 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to N••• F•••••• A•••• M••••••••• L••
left Jun 28, 2011, registered Mar 26, 2012 (272 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••
left Oct 25, 2007, registered Feb 5, 2008 (103 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

Signals

M••••••• Z•••••• left H••••• A••••••• for C••••••• S••••••••• I••• (registered 2022-11-14)
Nov 1, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address