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

S••• B•••••• A•••••

R••••••••• C•••••• M•••••••••BD affiliatedFlorham Park, Nj dual registrantIAPD 6435739

Certified Financial Planner

Feed of 09/14/2026

Also filed as Sean B Arnold

At current firm

1 y

since Oct 18, 2024

In the industry

11 y

since Aug 19, 2015 (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

R••••••••• C•••••• M••••••••• BD affiliated current
since Oct 30, 2025 · Newtown, Pa
R••••••••• C•••••• M••••••••• BD affiliated current
since Oct 18, 2024 · Florham Park, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 22, 2017 to Oct 24, 2024 · Yardley, Pa
L•• F•••••••• L•• BD affiliated
Nov 30, 2016 to Mar 20, 2017 · Ft Washington, Pa
C••• F•••••••• S•••••••• L••• former
Aug 2, 2016 to Nov 30, 2016 · Trevose, Pa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••
left Oct 24, 2024, registered Oct 18, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 20, 2017, registered Mar 22, 2017 (2 days) · Other
C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left Nov 30, 2016, registered Nov 30, 2016 (0 days) · Other · moved with a team

Signals

S••• B•••••• A••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2024-10-18)
Oct 24, 2024 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address