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

P•••• M••••• S•••••

T••••• A••••••• S•••••••• I•••BD affiliatedMarlton, Njdual registrantIAPD 5699973

Feed of 09/14/2026

Also filed as P•••• S•••••

At current firm

1 y

since Jul 10, 2025

In the industry

16 y

since Jul 6, 2010 (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

T••••• A••••••• S•••••••• I••• BD affiliated current
since Jul 10, 2025 · Marlton, Nj
C••••••••• F•••••••• N•••••• national BD
Jun 3, 2019 to Jul 14, 2025 · Wilmington, De
C••••••• S••••••••• I••• BD affiliated
Feb 2, 2017 to Jun 3, 2019 · Medford, Nj
M••••• S•••••• wirehouse
Jan 14, 2016 to Jan 31, 2017 · Mount Laurel, Nj
E••••• J•••• national BD
Nov 13, 2013 to Dec 23, 2015 · Maple Shade, Nj
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 23, 2011 to Nov 8, 2013 · Marlton, Nj
W•••••• • R••• former
Oct 1, 2010 to Apr 1, 2011 · Charleroi, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to T••••• A••••••• S•••••••• I•••
left Jul 14, 2025, registered Jul 10, 2025 (-4 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••
left Jun 3, 2019, registered Jun 3, 2019 (0 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••••••• S••••••••• I•••
left Jan 31, 2017, registered Feb 2, 2017 (2 days) · Other
E••••• J•••• to M••••• S••••••
left Dec 23, 2015, registered Jan 14, 2016 (22 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• F•••••••• S•••••••• L•• to E••••• J••••
left Nov 8, 2013, registered Nov 13, 2013 (5 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••
left Apr 1, 2011, registered Mar 23, 2011 (-9 days) · Other

Signals

P•••• M••••• S••••• left C••••••••• F•••••••• N•••••• for T••••• A••••••• S•••••••• I••• (registered 2025-07-10)
Jul 14, 2025 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address