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••••••• M• C•••••

C•••••• S••••• • C••• I•••national BDWayne, Padual registrantIAPD 6309008

Feed of 09/14/2026

Also filed as C••••••• M• C•••••

At current firm

1 y

since Oct 25, 2024

In the industry

11 y

since Mar 1, 2015 (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•••••• S••••• • C••• I••• national BD current
since Oct 25, 2024 · Wayne, Pa
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 6, 2022 to Oct 2, 2024 · Greenville, De
H••••••• F•••• asset manager
Feb 23, 2021 to Apr 14, 2022 · Wayne, Pa
A••••• A•• P••••••• S••••••• BD affiliated
Jun 18, 2018 to Nov 13, 2020 · Newark, De
T••••• A••••••• S•••••••• I••• BD affiliated
Jun 29, 2017 to May 11, 2018 · Bowie, Md
P•• W••••• M••••••••• BD affiliated
Sep 29, 2015 to Jun 20, 2017 · Bel Air, Md

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Oct 2, 2024, registered Oct 25, 2024 (23 days) · Affiliated broker-dealer or bank to another
H••••••• F•••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 14, 2022, registered Jun 6, 2022 (53 days) · Other
A••••• A•• P••••••• S••••••• to H••••••• F••••
left Nov 13, 2020, registered Feb 23, 2021 (102 days) · Other
T••••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••
left May 11, 2018, registered Jun 18, 2018 (38 days) · Affiliated broker-dealer or bank to another
P•• W••••• M••••••••• to T••••• A••••••• S•••••••• I•••
left Jun 20, 2017, registered Jun 29, 2017 (9 days) · Other

Signals

C••••••• M• C••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2024-10-25)
Oct 2, 2024 · Advisor changed firm · fact
C••••••• M• C••••• left H••••••• F•••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-06-06)
Apr 14, 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address