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.

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Registered advisor

C•••• A• M••••••

J• W• C••• A•••••••• I•••BD affiliatedTampa, Fl dual registrantIAPD 5928124

Feed of 09/14/2026

At current firm

1 y

since Feb 24, 2025

In the industry

15 y

since May 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J• W• C••• A•••••••• I••• BD affiliated current
since Feb 24, 2025 · Tampa, Fl
O•••• W•••••• I••• BD affiliated
Nov 2, 2018 to Feb 26, 2025 · Easton, Pa
S••••••• I••••••••• I••• former
Feb 9, 2018 to Nov 2, 2018 · Easton, Pa
M•• I•••••••• S•••••••• L•• BD affiliated
Apr 19, 2017 to Feb 15, 2018 · Allentown, Pa

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to J• W• C••• A•••••••• I•••
left Feb 26, 2025, registered Feb 24, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
M•• I•••••••• S•••••••• L•• to S••••••• I••••••••• I•••
left Feb 15, 2018, registered Feb 9, 2018 (-6 days) · Other

Signals

C•••• A• M•••••• left O•••• W•••••• I••• for J• W• C••• A•••••••• I••• (registered 2025-02-24)
Feb 26, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address