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••••• V••• D•••

T••••• A••••••• S•••••••• I•••BD affiliatedGarner, Ncdual registrantIAPD 6837490

Feed of 09/14/2026

Also filed as S••••• D•••

At current firm

3 y

since May 8, 2023

In the industry

9 y

since Nov 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••• A••••••• S•••••••• I••• BD affiliated current
since May 8, 2023 · Garner, Nc
C••••••• S••••••••• I••• BD affiliated
Nov 21, 2022 to May 1, 2023 · Conshohocken, Pa
W•••• F•••• A••••••• wirehouse
Apr 22, 2022 to Nov 10, 2022 · Phoenixville, Pa
C••••••• S••••••••• I••• BD affiliated
Nov 27, 2018 to Apr 14, 2022 · Wynnewood, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to T••••• A••••••• S•••••••• I•••
left May 1, 2023, registered May 8, 2023 (7 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to C••••••• S••••••••• I•••
left Nov 10, 2022, registered Nov 21, 2022 (11 days) · Wirehouse to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Apr 14, 2022, registered Apr 22, 2022 (8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

S••••• V••• D••• left C••••••• S••••••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2023-05-08)
May 1, 2023 · Advisor changed firm · fact
S••••• V••• D••• left W•••• F•••• A••••••• for C••••••• S••••••••• I••• (registered 2022-11-21)
Nov 10, 2022 · Advisor changed firm · fact
S••••• V••• D••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-04-22)
Apr 14, 2022 · 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: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address