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••••••••• N•••••••••

V••••••• A•••••••• I•••BD affiliatedMalvern, Padual registrantIAPD 6327087

Feed of 09/14/2026

At current firm

0 y

since Oct 16, 2025

In the industry

12 y

since Jun 11, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••• A•••••••• I••• BD affiliated current
since Oct 16, 2025 · Malvern, Pa
A••••••••• I••••••••• A••••••• mixed wealth
Feb 22, 2024 to Apr 14, 2025 · Tampa, Fl
T• P•••••• C••••• W••••• L•• BD affiliated
Oct 12, 2023 to Feb 23, 2024 · Exton, Pa
W•••• F•••• A••••••• wirehouse
Mar 3, 2021 to Oct 12, 2023 · Paoli, Pa

Moves

a registration end followed by a registration begin elsewhere

A••••••••• I••••••••• A••••••• to V••••••• A•••••••• I•••
left Apr 14, 2025, registered Oct 16, 2025 (185 days) · RIA to affiliated broker-dealer or bank
T• P•••••• C••••• W••••• L•• to A••••••••• I••••••••• A•••••••
left Feb 23, 2024, registered Feb 22, 2024 (-1 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to T• P•••••• C••••• W••••• L••
left Oct 12, 2023, registered Oct 12, 2023 (0 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C••••••••• N••••••••• left A••••••••• I••••••••• A••••••• for V••••••• A•••••••• I••• (registered 2025-10-16)
Apr 14, 2025 · Advisor changed firm · fact
C••••••••• N••••••••• left T• P•••••• C••••• W••••• L•• for A••••••••• I••••••••• A••••••• (registered 2024-02-22)
Feb 23, 2024 · Advisor changed firm · fact
C••••••••• N••••••••• left W•••• F•••• A••••••• for T• P•••••• C••••• W••••• L•• (registered 2023-10-12)
Oct 12, 2023 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address