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••••• M•••••• C•••••

W•••• F•••• A•••••••wirehouseDoylestown, Pa dual registrantIAPD 4565652

Feed of 09/15/2026

Also filed as T••••• M•••••• C•••••

At current firm

2 y

since May 8, 2024

In the industry

24 y

since Sep 5, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since May 8, 2024 · Allentown, Pa
P•••• S••••••••• L•• no RAUM
Sep 25, 2023 to Mar 27, 2024 · Warrington, Pa
T••••• A••••••• S•••••••• I••• BD affiliated
Nov 19, 2021 to Jul 14, 2023 · Hatboro, Pa
C••••••• S••••••••• I••• BD affiliated
Jan 31, 2019 to Nov 17, 2021 · Plymouth Meeting, Pa

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to W•••• F•••• A•••••••
left Mar 27, 2024, registered May 8, 2024 (42 days) · Affiliated broker-dealer or bank to wirehouse
T••••• A••••••• S•••••••• I••• to P•••• S••••••••• L••
left Jul 14, 2023, registered Sep 25, 2023 (73 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to T••••• A••••••• S•••••••• I•••
left Nov 17, 2021, registered Nov 19, 2021 (2 days) · Affiliated broker-dealer or bank to another

Signals

T••••• M•••••• C••••• left P•••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-05-08)
Mar 27, 2024 · Advisor changed firm · fact
T••••• M•••••• C••••• left T••••• A••••••• S•••••••• I••• for P•••• S••••••••• L•• (registered 2023-09-25)
Jul 14, 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: Wirehousederived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address