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

R••••• C•••••• C•••••••

N•••••• W•••••state registeredPittsburgh, Pa IA-onlyIAPD 5503552

Feed of 09/14/2026

Also filed as R••••• C•••••• C•••••••

At current firm

0 y

since Jan 14, 2026

In the industry

18 y

since Mar 11, 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

N•••••• W••••• state registered current
since Jan 14, 2026 · Pittsburgh, Pa
A•••• W••••• M••••••••• L•• independent RIA
May 26, 2022 to Feb 21, 2025 · Naples, Fl
C••• B•••••••• S•••••••• I••• former
Jul 22, 2020 to May 17, 2022 · Naples, Fl
A••••••• F•••••••• A•••••••• L•• BD affiliated
May 4, 2018 to Jun 15, 2020 · Harrison Township, Mi
P•••••••• A••••••• national BD
Apr 25, 2016 to Jan 12, 2017 · Washington Twp, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 6, 2013 to Apr 28, 2014 · Bloomfield Hills, Mi
T••••••••• A•••••••• I••• unclassified
Mar 11, 2008 to Sep 13, 2011 · Bloomfield Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

A•••• W••••• M••••••••• L•• to N•••••• W•••••
left Feb 21, 2025, registered Jan 14, 2026 (327 days) · RIA to a state-registered adviser
C••• B•••••••• S•••••••• I••• to A•••• W••••• M••••••••• L••
left May 17, 2022, registered May 26, 2022 (9 days) · Affiliated broker-dealer or bank to independent RIA
A••••••• F•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Jun 15, 2020, registered Jul 22, 2020 (37 days) · Affiliated broker-dealer or bank to another
P•••••••• A••••••• to A••••••• F•••••••• A•••••••• L••
left Jan 12, 2017, registered May 4, 2018 (477 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• A•••••••
left Apr 28, 2014, registered Apr 25, 2016 (728 days) · Wirehouse to affiliated broker-dealer or bank
T••••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 13, 2011, registered May 6, 2013 (601 days) · Other

Signals

R••••• C•••••• C••••••• left A•••• W••••• M••••••••• L•• for N•••••• W••••• (registered 2026-01-14)
Feb 21, 2025 · Advisor changed firm · fact
R••••• C•••••• C••••••• left C••• B•••••••• S•••••••• I••• for A•••• W••••• M••••••••• L•• (registered 2022-05-26)
May 17, 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address