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•••••• C• T•••••

P•• W••••• M•••••••••BD affiliatedRockville, Md dual registrantIAPD 5373817

Feed of 09/15/2026

Also filed as B•••••• T•••••

At current firm

2 y

since Apr 18, 2024

In the industry

19 y

since Aug 20, 2007 (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

P•• W••••• M••••••••• BD affiliated current
since Apr 18, 2024 · Rockville, Md
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 20, 2019 to Apr 4, 2024 · Washington, Dc
W••••••• F•••••••• S•••••••• I••• former
Jul 11, 2018 to Jul 26, 2019 · North Bethesda, Md
C•••••• O•• A•••••••• L•• former
May 9, 2017 to Jul 11, 2018 · Rockville, Md
P•• W••••• M••••••••• BD affiliated
Feb 6, 2015 to May 5, 2017 · Laurel, Md

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to P•• W••••• M•••••••••
left Apr 4, 2024, registered Apr 18, 2024 (14 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
left Jul 26, 2019, registered Aug 20, 2019 (25 days) · Affiliated broker-dealer or bank to another
C•••••• O•• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Jul 11, 2018, registered Jul 11, 2018 (0 days) · corporate re-registration, not a move
P•• W••••• M••••••••• to C•••••• O•• A•••••••• L••
left May 5, 2017, registered May 9, 2017 (4 days) · Other

Signals

B•••••• C• T••••• left C•••••••• G••••• M•••••• I••• for P•• W••••• M••••••••• (registered 2024-04-18)
Apr 4, 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: 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