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•••••• S••••• H•••••••••

M••••• S••••••wirehouseBaltimore, Mddual registrantIAPD 6286539

Certified Financial Planner

Feed of 09/14/2026

Also filed as P•••••• H•••••••••

At current firm

3 y

since Dec 9, 2022

In the industry

12 y

since Mar 1, 2014 (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

M••••• S•••••• wirehouse current
since Dec 9, 2022 · Baltimore, Md
C••••••••• F•••••••• N•••••• national BD
Mar 15, 2017 to Dec 9, 2022 · Annapolis, Md
S••••• F•••••••• A•••••••• L•• state registered
Jan 30, 2015 to Dec 15, 2022 · Annapolis, Md
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Aug 25, 2014 to Mar 17, 2017 · Annapolis, Md

Moves

a registration end followed by a registration begin elsewhere

S••••• F•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••
left Dec 15, 2022, registered Mar 15, 2017 (-2101 days) · Other
C••••••••• F•••••••• N•••••• to M••••• S••••••
left Dec 9, 2022, registered Dec 9, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• F•••••••• A•••••••• L••
left Mar 17, 2017, registered Jan 30, 2015 (-777 days) · Other · moved with a team

Signals

P•••••• S••••• H••••••••• left S••••• F•••••••• A•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2017-03-15)
Dec 15, 2022 · Advisor changed firm · fact
P•••••• S••••• H••••••••• left C••••••••• F•••••••• N•••••• for M••••• S•••••• (registered 2022-12-09)
Dec 9, 2022 · 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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address