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•••••• C••• P•••••••••

B••••••••• W••••• A•••••••• L••no RAUMWheaton, Il IA-onlyIAPD 7362959

Feed of 09/14/2026

At current firm

1 y

since Dec 2, 2024

In the industry

11 y

since Apr 1, 2015 (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

B••••••••• W••••• A•••••••• L•• no RAUM current
since Dec 2, 2024 · Wilkes Barre, Pa
T•••••••• A••••••• G••••• I••• BD affiliated
Dec 12, 2022 to Jan 24, 2023 · Wilkes-Barre, Pa
C•• I••••••••• I•• independent RIA
Apr 20, 2022 to Sep 23, 2022 · Wilkes Barre, Pa
S•••••• P•••••••• L•• independent RIA
Apr 14, 2021 to Apr 13, 2022 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

T•••••••• A••••••• G••••• I••• to B••••••••• W••••• A•••••••• L••
left Jan 24, 2023, registered Dec 2, 2024 (678 days) · Other
C•• I••••••••• I•• to T•••••••• A••••••• G••••• I•••
left Sep 23, 2022, registered Dec 12, 2022 (80 days) · RIA to affiliated broker-dealer or bank
S•••••• P•••••••• L•• to C•• I••••••••• I••
left Apr 13, 2022, registered Apr 20, 2022 (7 days) · RIA to RIA

Signals

M•••••• C••• P••••••••• left T•••••••• A••••••• G••••• I••• for B••••••••• W••••• A•••••••• L•• (registered 2024-12-02)
Jan 24, 2023 · Advisor changed firm · fact
M•••••• C••• P••••••••• left C•• I••••••••• I•• for T•••••••• A••••••• G••••• I••• (registered 2022-12-12)
Sep 23, 2022 · Advisor changed firm · fact
M•••••• C••• P••••••••• left S•••••• P•••••••• L•• for C•• I••••••••• I•• (registered 2022-04-20)
Apr 13, 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: No RAUM reportedderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address