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••••• J••••

C••••••• S••••••••• I•••BD affiliatedMonroeville, Pa dual registrantIAPD 4881453

Feed of 09/15/2026

Also filed as D••••• J••••

At current firm

4 y

since Sep 13, 2022

In the industry

21 y

since May 16, 2005 (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

C••••••• S••••••••• I••• BD affiliated current
since Sep 13, 2022 · Warrendale, Pa
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 26, 2021 to Aug 9, 2022 · Pittsburgh, Pa
E••••• J•••• national BD
Mar 11, 2019 to Jan 7, 2021 · Cranberry Township, Pa
F•••••••• G••••• I••••••••• M••••••••• C•••• asset manager
May 12, 2010 to Nov 24, 2017 · New York, Ny
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• asset manager
May 12, 2010 to Nov 24, 2017 · Boston, Ma
F•••••••• S••••••••• C•••• no RAUM
Nov 11, 2009 to Nov 24, 2017 · Pittsburgh, Pa
F•••••••• I••••••••• C••••••••• institutional
Jul 9, 2008 to Nov 24, 2017 · Pittsburgh, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 17, 2005 to Apr 2, 2008 · Plainsboro, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Aug 9, 2022, registered Sep 13, 2022 (35 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to C••••• I••••••••• A••••••• L••
left Jan 7, 2021, registered Aug 26, 2021 (231 days) · Affiliated broker-dealer or bank to another
F•••••••• G••••• I••••••••• M••••••••• C•••• to M•• A•••••••• A• D••••••• O• F•••••••• M••• L••
left Nov 24, 2017, registered May 12, 2010 (-2753 days) · channel change inside one enterprise, not a move
F•••••••• S••••••••• C•••• to F•••••••• G••••• I••••••••• M••••••••• C••••
left Nov 24, 2017, registered May 12, 2010 (-2753 days) · channel change inside one enterprise, not a move
F•••••••• I••••••••• C••••••••• to F•••••••• S••••••••• C••••
left Nov 24, 2017, registered Nov 11, 2009 (-2935 days) · channel change inside one enterprise, not a move · moved with a team
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• to E••••• J••••
left Nov 24, 2017, registered Mar 11, 2019 (472 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••••• I••••••••• C•••••••••
left Apr 2, 2008, registered Jul 9, 2008 (98 days) · Other

Signals

D••••• J•••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-09-13)
Aug 9, 2022 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address