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

S•••• N••••• W••••• F•••••••

M••••• S••••••wirehouseYardley, Padual registrantIAPD 4753452

Feed of 09/14/2026

Also filed as S•••• N••••• W•••••

At current firm

6 y

since Jul 27, 2020

In the industry

20 y

since Aug 7, 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

M••••• S•••••• wirehouse current
since Jul 27, 2020 · Yardley, Pa
S•••••• N••••••• • C••••••• I••••••••• national BD
Apr 8, 2016 to Jul 6, 2020 · Conshohocken, Pa
B••••••• C•••••• I••• former
Sep 1, 2010 to Dec 28, 2015 · Philadelphia, Pa
C••••• S••••• S••••••••• •••• L•• former
Oct 6, 2008 to Jan 25, 2010 · West Conshohocken, Pa
L••••• B••••••• I••• unclassified
Apr 18, 2007 to Oct 9, 2008 · New York, Ny
J••••• M••••••••• S•••• L•• BD affiliated
Aug 8, 2006 to May 3, 2007 · Yardley, Pa

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••
left Jul 6, 2020, registered Jul 27, 2020 (21 days) · Affiliated broker-dealer or bank to wirehouse
B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 28, 2015, registered Apr 8, 2016 (102 days) · corporate re-registration, not a move
C••••• S••••• S••••••••• •••• L•• to B••••••• C•••••• I•••
left Jan 25, 2010, registered Sep 1, 2010 (219 days) · Other
L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••
left Oct 9, 2008, registered Oct 6, 2008 (-3 days) · Other
J••••• M••••••••• S•••• L•• to L••••• B••••••• I•••
left May 3, 2007, registered Apr 18, 2007 (-15 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address