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.

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Registered advisor

M•••••• R•••••• S••••

P• N••• F•••••••• S••••••• L••independent RIANewtown, PaIA-onlyIAPD 5126990

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• S••••

At current firm

1 y

since Jan 6, 2025

In the industry

19 y

since Jun 13, 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

P• N••• F•••••••• S••••••• L•• independent RIA current
since Jan 6, 2025 · Newtown, Pa
J••• E••••••••• L•• independent RIA
Mar 25, 2021 to Apr 24, 2025 · Newtown, Pa
W•••• F•••• A••••••• wirehouse
Mar 23, 2018 to Apr 29, 2021 · Miami Beach, Fl
W•••• F•••• A••••••• wirehouse
Jun 14, 2007 to Mar 23, 2018 · Yardley, Pa

Moves

a registration end followed by a registration begin elsewhere

J••• E••••••••• L•• to P• N••• F•••••••• S••••••• L••
left Apr 24, 2025, registered Jan 6, 2025 (-108 days) · RIA to a newly registered adviser · moved with a team
W•••• F•••• A••••••• to J••• E••••••••• L••
left Apr 29, 2021, registered Mar 25, 2021 (-35 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
W•••• F•••• A••••••• to W•••• F•••• A•••••••
left Mar 23, 2018, registered Mar 23, 2018 (0 days) · channel change inside one enterprise, not a move · moved with a team

Signals

M•••••• R•••••• S•••• left J••• E••••••••• L•• for P• N••• F•••••••• S••••••• L•• (registered 2025-01-06)
Apr 24, 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address