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••••••••• N••••••• C•••••

C••••• I••••••••• A••••••• L••BD affiliatedEatontown, Njdual registrantIAPD 1389962

Feed of 09/14/2026

Also filed as C••••••••• N C•••••

At current firm

2 y

since Mar 21, 2024

In the industry

39 y

since Mar 17, 1987 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 21, 2024 · Eatontown, Nj
B• R•••• W••••• A•••••••• I••• BD affiliated
Jun 21, 2016 to Jun 21, 2022 · Eatontown, Nj
W•••• F•••• A••••••• wirehouse
Feb 17, 2011 to Jan 6, 2015 · Spring Lake, Nj
U•• F•••••••• S••••••• I••• wirehouse
Jan 13, 2006 to Feb 24, 2011 · Wall, Nj
M••••• S•••••• D• I••• unclassified
Jun 20, 2002 to Jan 17, 2006 · Red Bank, Nj

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Jun 21, 2022, registered Mar 21, 2024 (639 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to B• R•••• W••••• A•••••••• I•••
left Jan 6, 2015, registered Jun 21, 2016 (532 days) · Other
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Feb 24, 2011, registered Feb 17, 2011 (-7 days) · Wirehouse to wirehouse
M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••
left Jan 17, 2006, registered Jan 13, 2006 (-4 days) · Other

Signals

C••••••••• N••••••• C••••• left B• R•••• W••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
Jun 21, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address