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

C•••• P••• F••••

A••••••• F••••••••• L•••BD affiliatedBel Air, Md dual registrantIAPD 4582221

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Oct 17, 2023

In the industry

19 y

since Oct 18, 2006 (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

A••••••• F••••••••• L••• BD affiliated current
since Oct 17, 2023 · Folsom, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Nov 13, 2023 · Towson, Md
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 9, 2013 to Sep 7, 2023 · Lutherville, Md
T• A••••••••• I••• former
Dec 9, 2013 to Oct 14, 2022 · Towson, Md
B••• I••••••••• S•••••••• I••• former
Jan 15, 2013 to Dec 2, 2013 · Charlotte, Nc
A••• F•••••••• M••••••••• C•• independent RIA
Dec 14, 2007 to Oct 31, 2012 · Eldersburg, Md

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to A••••••• F••••••••• L•••
left Nov 13, 2023, registered Oct 17, 2023 (-27 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Dec 9, 2013 (-3231 days) · corporate re-registration, not a move
B••• I••••••••• S•••••••• I••• to T• A••••••••• I•••
left Dec 2, 2013, registered Dec 9, 2013 (7 days) · Other
A••• F•••••••• M••••••••• C•• to B••• I••••••••• S•••••••• I•••
left Oct 31, 2012, registered Jan 15, 2013 (76 days) · RIA to a newly registered adviser

Signals

C•••• P••• F•••• left C•••••• S••••• • C••• I••• for A••••••• F••••••••• L••• (registered 2023-10-17)
Nov 13, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address