DFX Intelligence
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Registered advisor
N••• J•• S••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
At current firm
5 y
since Feb 3, 2021
In the industry
43 y
since Jan 1, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W••••••••• L•• independent RIA currentsince Feb 3, 2021 · Wilton, Ny
- L•••••• I••••••••• independent RIAFeb 19, 2003 to Feb 20, 2003 · Gloversville, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•••••• I••••••••• to W••••••••• L••left Feb 20, 2003, registered Feb 3, 2021 (6558 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address