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••••• A•••••

T• P•••••• C••••• W••••• L••BD affiliatedMarlton, Njdual registrantIAPD 5125188

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••• T A•••••

At current firm

1 y

since Mar 12, 2025

In the industry

19 y

since Mar 15, 2007 (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

T• P•••••• C••••• W••••• L•• BD affiliated current
since Mar 12, 2025 · Marlton, Nj
C•••••• S••••• • C••• I••• national BD
Feb 16, 2022 to Mar 10, 2025 · Marlton, Nj
T• A••••••••• I••• former
Feb 27, 2018 to Oct 14, 2022 · Sewell, Nj
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Sep 7, 2023 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
May 10, 2017 to Feb 26, 2018 · Saint Louis, Mo
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 19, 2007 to Oct 19, 2009 · Marlton, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to T• P•••••• C••••• W••••• L••
left Mar 10, 2025, registered Mar 12, 2025 (2 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Feb 16, 2022 (-240 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to S•••••••• I••••••••• M•••••••••
left Oct 19, 2009, registered May 10, 2017 (2760 days) · Other

Signals

B•••• T••••• A••••• left C•••••• S••••• • C••• I••• for T• P•••••• C••••• W••••• L•• (registered 2025-03-12)
Mar 10, 2025 · 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