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

B•••• T••• S••••••

C••••• I••••••••• A••••••• L••BD affiliatedSpringfield, Padual registrantIAPD 4710500

Feed of 09/14/2026

Also filed as B•••• T••• S••••••

At current firm

0 y

since Apr 6, 2026

In the industry

22 y

since Dec 1, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Apr 6, 2026 · Springfield, Pa
N•• A•• A•••• asset manager
May 21, 2025 to Feb 12, 2026 · Rye, Ny
C•••••• S••••• • C••• I••• national BD
Aug 2, 2023 to Sep 13, 2024 · Marlton, Nj
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 1, 2020 to May 31, 2023 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

N•• A•• A•••• to C••••• I••••••••• A••••••• L••
left Feb 12, 2026, registered Apr 6, 2026 (53 days) · Other
C•••••• S••••• • C••• I••• to N•• A•• A••••
left Sep 13, 2024, registered May 21, 2025 (250 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left May 31, 2023, registered Aug 2, 2023 (63 days) · Affiliated broker-dealer or bank to another

Signals

B•••• T••• S•••••• left N•• A•• A•••• for C••••• I••••••••• A••••••• L•• (registered 2026-04-06)
Feb 12, 2026 · Advisor changed firm · fact
B•••• T••• S•••••• left C•••••• S••••• • C••• I••• for N•• A•• A•••• (registered 2025-05-21)
Sep 13, 2024 · Advisor changed firm · fact
B•••• T••• S•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-08-02)
May 31, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address