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.
Feed of 09/14/2026
At current firm
8 y
since Mar 15, 2018
In the industry
24 y
since Aug 8, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Mariner BD affiliated currentsince Mar 15, 2018 · State College, Pa
- Mariner Wealth Advisors formerMar 30, 2015 to Oct 11, 2018 · State College, Pa
- Vantage Investment Advisors, LLC formerSep 20, 2010 to Mar 30, 2015 · State College, Pa
- Wells Fargo Advisors wirehouseFeb 26, 2010 to Sep 22, 2010 · Harrisburg, Pa
- Cetera Investment Services LLC formerSep 26, 2006 to Mar 1, 2010 · State College, Pa
- Pnc Wealth Management BD affiliatedOct 28, 2004 to Sep 22, 2006 · Huntingdon, Pa
Moves
a registration end followed by a registration begin elsewhere
- Mariner Wealth Advisors to Marinerleft Oct 11, 2018, registered Mar 15, 2018 (-210 days) · Other · moved with a team
- Vantage Investment Advisors, LLC to Mariner Wealth Advisorsleft Mar 30, 2015, registered Mar 30, 2015 (0 days) · Other · moved with a team
- Wells Fargo Advisors to Vantage Investment Advisors, LLCleft Sep 22, 2010, registered Sep 20, 2010 (-2 days) · Other
- Cetera Investment Services LLC to Wells Fargo Advisorsleft Mar 1, 2010, registered Feb 26, 2010 (-3 days) · Other
- Pnc Wealth Management to Cetera Investment Services LLCleft Sep 22, 2006, registered Sep 26, 2006 (4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address