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••• A••• M••••

C••••• I••••••••• A••••••• L••BD affiliatedWest Chester, Padual registrantIAPD 4562129

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••• A. M••••

At current firm

1 y

since Dec 16, 2024

In the industry

25 y

since Apr 25, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Dec 16, 2024 · West Chester, Pa
C••• F•••••••• S•••••••• L••• former
Jan 31, 2024 to Dec 12, 2024 · West Chester, Pa
S•• I••••••••• M••••••••• C••• mixed wealth
Jun 4, 2007 to Nov 28, 2023 · Oaks, Pa
C•• F••• A•••••••• I••• unclassified
May 6, 2004 to Jun 9, 2006 · Philadelphia, Pa
C•• I••••••••• S••••••••• L•• former
Sep 6, 2001 to Oct 23, 2002 · Yardley, Pa
C••••••••• I••••••••• S•••••••• I•• unclassified
Apr 25, 2001 to Oct 9, 2002 · Yardley, Pa

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Dec 12, 2024, registered Dec 16, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
S•• I••••••••• M••••••••• C••• to C••• F•••••••• S•••••••• L•••
left Nov 28, 2023, registered Jan 31, 2024 (64 days) · Other
C•• F••• A•••••••• I••• to S•• I••••••••• M••••••••• C•••
left Jun 9, 2006, registered Jun 4, 2007 (360 days) · Other
C•• I••••••••• S••••••••• L•• to C•• F••• A•••••••• I•••
left Oct 23, 2002, registered May 6, 2004 (561 days) · Other
C••••••••• I••••••••• S•••••••• I•• to C•• I••••••••• S••••••••• L••
left Oct 9, 2002, registered Sep 6, 2001 (-398 days) · Other

Signals

D••• A••• M•••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2024-12-16)
Dec 12, 2024 · Advisor changed firm · fact
D••• A••• M•••• left S•• I••••••••• M••••••••• C••• for C••• F•••••••• S•••••••• L••• (registered 2024-01-31)
Nov 28, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address