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••••••••• F• L•••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedGlenshaw, Pa dual registrantIAPD 6019161

Feed of 09/15/2026

Also filed as C••••••••• F L•••••••

At current firm

0 y

since Apr 9, 2026

In the industry

14 y

since Mar 23, 2012 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Apr 9, 2026 · Glenshaw, Pa
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Apr 30, 2026 · Oakmont, Pa
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 16, 2020 to Mar 31, 2025 · Cranberry Township, Pa
T• A••••••••• I••• former
Aug 1, 2017 to Jun 2, 2020 · Pittsburgh, Pa
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 1, 2017 to Jun 2, 2020 · Pittsburgh, Pa
H••••••••• F•••••••• A••••••• BD affiliated
Jun 10, 2016 to Jun 29, 2017 · White Oak, Pa
P•• W••••• M••••••••• BD affiliated
Jan 25, 2013 to May 19, 2016 · Greensburg, Pa
E••••• J•••• national BD
May 22, 2012 to Oct 24, 2012 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 30, 2026, registered Apr 9, 2026 (-21 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jun 2, 2020, registered Aug 1, 2017 (-1036 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 2, 2020, registered Aug 1, 2017 (-1036 days) · channel change inside one enterprise, not a move
H••••••••• F•••••••• A••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 29, 2017, registered Aug 1, 2017 (33 days) · Other
P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••
left May 19, 2016, registered Jun 10, 2016 (22 days) · Other
E••••• J•••• to P•• W••••• M•••••••••
left Oct 24, 2012, registered Jan 25, 2013 (93 days) · Other

Signals

C••••••••• F• L••••••• left S•••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-04-09)
Apr 30, 2026 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address