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••• S••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWest Chester, Pa dual registrantIAPD 6628198

Feed of 09/14/2026

Also filed as C•••••••• M S••••

At current firm

1 y

since May 5, 2025

In the industry

23 y

since Dec 1, 2002 (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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since May 5, 2025 · West Chester, Pa
O•••• A••••••• S•••••••• L•• BD affiliated
Jan 20, 2021 to May 7, 2025 · Atlanta, Ga
C••••••••• F•••••••• N•••••• national BD
Oct 1, 2019 to Jan 20, 2021 · West Chester, Pa
S••••••• F•••••••• S•••••••• I••• former
May 12, 2017 to Oct 7, 2019 · West Chester, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 23, 2016 to May 4, 2017 · Wayne, Pa

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 7, 2025, registered May 5, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••••• F•••••••• N•••••• to O•••• A••••••• S•••••••• L••
left Jan 20, 2021, registered Jan 20, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••
left Oct 7, 2019, registered Oct 1, 2019 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• F•••••••• S•••••••• I•••
left May 4, 2017, registered May 12, 2017 (8 days) · Other

Signals

C•••••••• M••• S•••• left O•••• A••••••• S•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-05-05)
May 7, 2025 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address