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••••• B•••••••

W•••• F•••• A•••••••wirehouseBaltimore, Mddual registrantIAPD 7457637

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••• B•••••••

At current firm

0 y

since Jun 26, 2026

In the industry

13 y

since Jun 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jun 26, 2026 · Baltimore, Md
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jun 25, 2026 · New York, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 16, 2024 to Mar 31, 2025 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Mar 21, 2024 to Jun 3, 2024 · Weehawken, Nj

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left Jun 25, 2026, registered Jun 26, 2026 (1 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jun 3, 2024, registered Jul 16, 2024 (43 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

C••••• B••••••• left S•••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2026-06-26)
Jun 25, 2026 · Advisor changed firm · fact
C••••• B••••••• left U•• F•••••••• S••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-07-16)
Jun 3, 2024 · 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address