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

D•••• M•••••• S••••••••

S•••••• P•••••••• L••independent RIAOmaha, Ne IA-onlyIAPD 4167812

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Apr 4, 2023

In the industry

26 y

since Jun 1, 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

S•••••• P•••••••• L•• independent RIA current
since Apr 4, 2023 · Marlton, Nj
S••••••••• A•••••• A•••••••• I••• former
May 10, 2021 to Feb 23, 2023 · Marlton, Nj
E•••••••• A•••••••• L•• national BD
Jul 10, 2017 to Oct 28, 2020 · Conshohocken, Pa
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to Jul 12, 2017 · Cherry Hill, Nj
M•• F•••••••• S•••••••• I••• former
Jun 3, 2008 to Mar 25, 2017 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to S•••••• P•••••••• L••
left Feb 23, 2023, registered Apr 4, 2023 (40 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Oct 28, 2020, registered May 10, 2021 (194 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••
left Jul 12, 2017, registered Jul 10, 2017 (-2 days) · Other
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

D•••• M•••••• S•••••••• left S••••••••• A•••••• A•••••••• I••• for S•••••• P•••••••• L•• (registered 2023-04-04)
Feb 23, 2023 · 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