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•••••• L•••• W•••••

J••••• M••••••••• S•••• L••BD affiliatedRoyersford, Padual registrantIAPD 728769

Feed of 09/14/2026

Also filed as III C•••••• L•••• W•••••

At current firm

0 y

since Nov 4, 2025

In the industry

45 y

since Aug 17, 1981 (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

J••••• M••••••••• S•••• L•• BD affiliated current
since Nov 4, 2025 · Royersford, Pa
A•••• C•••••• independent RIA
Jun 22, 2020 to Nov 4, 2025 · Wayne, Pa
W•••• F•••• A••••••• wirehouse
Sep 2, 2009 to Jun 24, 2020 · Collegeville, Pa
R•• C•••••• M••••••• L•• national BD
Feb 12, 2004 to Sep 10, 2009 · Conshohocken, Pa

Moves

a registration end followed by a registration begin elsewhere

A•••• C•••••• to J••••• M••••••••• S•••• L••
left Nov 4, 2025, registered Nov 4, 2025 (0 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to A•••• C••••••
left Jun 24, 2020, registered Jun 22, 2020 (-2 days) · Wirehouse to independent RIA
R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
left Sep 10, 2009, registered Sep 2, 2009 (-8 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C•••••• L•••• W••••• left A•••• C•••••• for J••••• M••••••••• S•••• L•• (registered 2025-11-04)
Nov 4, 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: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address