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

N••••••• D•••• D•••••••••

G•••• V••••• A•••••• G••••• L••independent RIABerwyn, Pa dual registrantIAPD 6355371

Feed of 09/14/2026

Also filed as N••••••• D•••• D•••••••••

At current firm

2 y

since Aug 22, 2024

In the industry

11 y

since Nov 13, 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

G•••• V••••• A•••••• G••••• L•• independent RIA current
since Aug 22, 2024 · Berwyn, Pa
S••• BD affiliated
Dec 7, 2022 to Mar 13, 2023 · Los Angeles, Ca
E•••••••• A•••••••• L•• national BD
Sep 11, 2019 to Dec 14, 2022 · Bala Cynwyd, Pa
S••••••• F•••••••• S•••••••• I••• former
Jun 28, 2018 to Sep 12, 2019 · Plymouth Meeting, Pa
J••••• C•••••• M••••••••• L•• independent RIA
Jun 24, 2015 to Feb 12, 2018 · Berwyn, Pa
M••••• L•• independent RIA
Dec 16, 2014 to Mar 24, 2015 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

S••• to G•••• V••••• A•••••• G••••• L••
left Mar 13, 2023, registered Aug 22, 2024 (528 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• A•••••••• L•• to S•••
left Dec 14, 2022, registered Dec 7, 2022 (-7 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••
left Sep 12, 2019, registered Sep 11, 2019 (-1 days) · Affiliated broker-dealer or bank to another
J••••• C•••••• M••••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Feb 12, 2018, registered Jun 28, 2018 (136 days) · Other
M••••• L•• to J••••• C•••••• M••••••••• L••
left Mar 24, 2015, registered Jun 24, 2015 (92 days) · Other

Signals

N••••••• D•••• D••••••••• left Seia for G•••• V••••• A•••••• G••••• L•• (registered 2024-08-22)
Mar 13, 2023 · a•••••• firm change · fact
N••••••• D•••• D••••••••• left E•••••••• A•••••••• L•• for Seia (registered 2022-12-07)
Dec 14, 2022 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address