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

M•••••• E••• S•••••••••

Q• A•••••••• L••no RAUMWilmington, NcIA-onlyIAPD 6436400

Certified Financial Planner

Feed of 09/14/2026

Also filed as E••• S••••••••• M••••••

At current firm

2 y

since Apr 10, 2024

In the industry

10 y

since Jan 1, 2016 (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

Q• A•••••••• L•• no RAUM current
since Apr 10, 2024 · Wilmington, Nc
M••••••••• A•••••••• L•• independent RIA
Jun 23, 2023 to Dec 1, 2023 · New York, Ny
A•••• W••••• A•••••••• L•• BD affiliated
Jan 4, 2022 to Jun 29, 2023 · Chicago, Il
V••••••• A•••••••• I••• BD affiliated
Sep 24, 2020 to Dec 31, 2021 · Malvern, Pa
L•••••• I••••••••• independent RIA
May 2, 2019 to Jul 24, 2020 · Horsham, Pa
C•••••• A••••••• BD affiliated
May 2, 2019 to Jul 24, 2020 · Jenkintown, Pa
B••••••••• C•••••• M••••••••• L•• independent RIA
Apr 12, 2018 to Apr 9, 2019 · Harrisburg, Pa
C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliated
Feb 16, 2018 to Apr 2, 2018 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

M••••••••• A•••••••• L•• to Q• A•••••••• L••
left Dec 1, 2023, registered Apr 10, 2024 (131 days) · Other
A•••• W••••• A•••••••• L•• to M••••••••• A•••••••• L••
left Jun 29, 2023, registered Jun 23, 2023 (-6 days) · Other · moved with a team
V••••••• A•••••••• I••• to A•••• W••••• A•••••••• L••
left Dec 31, 2021, registered Jan 4, 2022 (4 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to C•••••• A•••••••
left Jul 24, 2020, registered May 2, 2019 (-449 days) · Affiliated broker-dealer or bank to another
C•••••• A••••••• to V••••••• A•••••••• I•••
left Jul 24, 2020, registered Sep 24, 2020 (62 days) · Affiliated broker-dealer or bank to another
B••••••••• C•••••• M••••••••• L•• to L•••••• I•••••••••
left Apr 9, 2019, registered May 2, 2019 (23 days) · RIA to affiliated broker-dealer or bank
C•••••• I••••••••• A••••••• S•••••••• L•• to B••••••••• C•••••• M••••••••• L••
left Apr 2, 2018, registered Apr 12, 2018 (10 days) · Affiliated broker-dealer or bank to independent RIA

Signals

M•••••• E••• S••••••••• left M••••••••• A•••••••• L•• for Q• A•••••••• L•• (registered 2024-04-10)
Dec 1, 2023 · Advisor changed firm · fact
M•••••• E••• S••••••••• left A•••• W••••• A•••••••• L•• for M••••••••• A•••••••• L•• (registered 2023-06-23)
Jun 29, 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: No RAUM reportedderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address