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••••• M••••• S•••

O••••• F••••••••• L••state registeredAbington, PaIA-onlyIAPD 5586347

Certified Financial Planner

Feed of 09/14/2026

Also filed as R••••• M••••• S•••

At current firm

0 y

since Jul 2, 2026

In the industry

17 y

since Nov 1, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O••••• F••••••••• L•• state registered current
since Jul 2, 2026 · Abington, Pa
C••••••••• W••••• P•••••••• L•• independent RIA
Apr 26, 2023 to May 28, 2026 · Abington, Pa
O••••• F••••••••• L•• unclassified
Sep 8, 2021 to May 2, 2023 · Conshohocken, Pa
V••••••• A•••••••• I••• BD affiliated
Jul 19, 2016 to Sep 29, 2020 · Malvern, Pa
E•••••••• A•••••••• L•• national BD
Nov 3, 2008 to Oct 9, 2009 · Bala Cynwyd, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• W••••• P•••••••• L•• to O••••• F••••••••• L••
left May 28, 2026, registered Jul 2, 2026 (35 days) · RIA to a state-registered adviser
O••••• F••••••••• L•• to C••••••••• W••••• P•••••••• L••
left May 2, 2023, registered Apr 26, 2023 (-6 days) · Other
V••••••• A•••••••• I••• to O••••• F••••••••• L••
left Sep 29, 2020, registered Sep 8, 2021 (344 days) · Other
E•••••••• A•••••••• L•• to V••••••• A•••••••• I•••
left Oct 9, 2009, registered Jul 19, 2016 (2475 days) · Other

Signals

R••••• M••••• S••• left C••••••••• W••••• P•••••••• L•• for O••••• F••••••••• L•• (registered 2026-07-02)
May 28, 2026 · Advisor changed firm · fact
R••••• M••••• S••• left O••••• F••••••••• L•• for C••••••••• W••••• P•••••••• L•• (registered 2023-04-26)
May 2, 2023 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address