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• M•••••••

C••••••••• F•••••••• N••••••national BDAllentown, Padual registrantIAPD 5341121

Feed of 09/14/2026

Also filed as S••• Nathaniel M•••••••

At current firm

2 y

since Jan 22, 2024

In the industry

17 y

since Dec 2, 2008 (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••••••••• F•••••••• N•••••• national BD current
since Jan 22, 2024 · Allentown, Pa
M••••• S•••••• wirehouse
Apr 16, 2021 to Jan 23, 2024 · Allentown, Pa
P••• A••••• S••••••••• L•• BD affiliated
Jun 4, 2018 to Feb 23, 2021 · Bethlehem, Pa
L•••••• I••••••••• independent RIA
May 26, 2016 to Jul 11, 2017 · Bethlehem, Pa
C•••••• A••••••• BD affiliated
Apr 26, 2016 to Jul 11, 2017 · Bethlehem, Pa
L•••••• I••••••••• independent RIA
Feb 22, 2016 to May 26, 2016 · Bethlehem, Pa

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C••••••••• F•••••••• N••••••
left Jan 23, 2024, registered Jan 22, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
P••• A••••• S••••••••• L•• to M••••• S••••••
left Feb 23, 2021, registered Apr 16, 2021 (52 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• A••••••• to L•••••• I•••••••••
left Jul 11, 2017, registered May 26, 2016 (-411 days) · Other
L•••••• I••••••••• to P••• A••••• S••••••••• L••
left Jul 11, 2017, registered Jun 4, 2018 (328 days) · Other
L•••••• I••••••••• to C•••••• A•••••••
left May 26, 2016, registered Apr 26, 2016 (-30 days) · Other

Signals

S••• N• M••••••• left M••••• S•••••• for C••••••••• F•••••••• N•••••• (registered 2024-01-22)
Jan 23, 2024 · 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address