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

C••••••••• I•• D•••••

P•••••• A•••••• G••••• L••BD affiliatedMorristown, Nj IA-onlyIAPD 5581986

Feed of 09/14/2026

Also filed as C••••••••• D•••••

At current firm

3 y

since Nov 4, 2022

In the industry

17 y

since Oct 24, 2008 (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•••••• A•••••• G••••• L•• BD affiliated current
since Nov 4, 2022 · Morristown, Nj
H••••••• W••••• M••••••••• G••••• L•• independent RIA
Oct 1, 2020 to Oct 3, 2022 · Norfolk, Va
W•••• F•••• A••••••• wirehouse
Nov 26, 2018 to Sep 24, 2020 · Virginia Beach, Va
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Nov 13, 2017 to Nov 28, 2018 · Virginia Beach, Va
C•••••• M••••• P•••••••• L•• independent RIA
Jan 13, 2016 to Jul 12, 2017 · Norfolk, Va
C•••••• S••••• • C••• I••• national BD
Jun 6, 2011 to Dec 1, 2015 · Glen Allen, Va
E••••• J•••• national BD
Nov 20, 2008 to May 6, 2011 · Midlothian, Va

Moves

a registration end followed by a registration begin elsewhere

H••••••• W••••• M••••••••• G••••• L•• to P•••••• A•••••• G••••• L••
left Oct 3, 2022, registered Nov 4, 2022 (32 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to H••••••• W••••• M••••••••• G••••• L••
left Sep 24, 2020, registered Oct 1, 2020 (7 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••
left Nov 28, 2018, registered Nov 26, 2018 (-2 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• M••••• P•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 12, 2017, registered Nov 13, 2017 (124 days) · Other
C•••••• S••••• • C••• I••• to C•••••• M••••• P•••••••• L••
left Dec 1, 2015, registered Jan 13, 2016 (43 days) · Other
E••••• J•••• to C•••••• S••••• • C••• I•••
left May 6, 2011, registered Jun 6, 2011 (31 days) · Affiliated broker-dealer or bank to another

Signals

C••••••••• I•• D••••• left H••••••• W••••• M••••••••• G••••• L•• for P•••••• A•••••• G••••• L•• (registered 2022-11-04)
Oct 3, 2022 · a•••••• firm change · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address