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

T••••• P••• C••••••

R••••••••• P••• A•••••••• L••mixed wealthChicago, Il dual registrantIAPD 4220116

Feed of 09/15/2026

Also filed as T••••• P C••••••

At current firm

5 y

since Nov 4, 2020

In the industry

22 y

since Sep 29, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R••••••••• P••• A•••••••• L•• mixed wealth current
since Nov 4, 2020 · Chicago, Il
E•••••• C•••••• M••••••••• L•• former
May 24, 2019 to Nov 10, 2020 · King Of Prussia, Pa
C•••••• S••••• • C••• I••• national BD
May 12, 2010 to May 22, 2019 · Philadelphia, Pa
P•• W••••• M••••••••• BD affiliated
Apr 6, 2009 to Apr 30, 2010 · Cape May Courthouse, Nj
S•••••••• A••••••• L•• national BD
Oct 21, 2003 to Mar 24, 2009 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

E•••••• C•••••• M••••••••• L•• to R••••••••• P••• A•••••••• L••
left Nov 10, 2020, registered Nov 4, 2020 (-6 days) · RIA to RIA
C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••
left May 22, 2019, registered May 24, 2019 (2 days) · Affiliated broker-dealer or bank to independent RIA
P•• W••••• M••••••••• to C•••••• S••••• • C••• I•••
left Apr 30, 2010, registered May 12, 2010 (12 days) · Other
S•••••••• A••••••• L•• to P•• W••••• M•••••••••
left Mar 24, 2009, registered Apr 6, 2009 (13 days) · Other

Signals

No dated event on this person.

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: Wealth manager with institutional or fund businessderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address