DFX Intelligence
RIA Intelligence
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Registered advisor
N••• J•• W•••••••
Feed of 09/14/2026
At current firm
10 y
since Oct 27, 2015
In the industry
41 y
since Nov 26, 1984 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• A•••• S••••••••• state registered currentsince Jun 8, 2023 · Newtown, Pa
- M•••••• A••••• S••••••••• L•• BD affiliated currentsince Oct 27, 2015 · San Diego, Ca
- E•••• S••••••••• L•• BD affiliatedMar 17, 2003 to Jul 10, 2006 · Bala Cynwyd, Pa
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to M•••••• A••••• S••••••••• L••left Jul 10, 2006, registered Oct 27, 2015 (3396 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address