DFX Intelligence
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Registered advisor
W•••••• B••••••• S•••••••
Feed of 09/14/2026
At current firm
4 y
since Jul 18, 2022
In the industry
30 y
since Jul 25, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 18, 2022 · Bedminster, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 12, 2008 to Jul 26, 2022 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 10, 2003 to Dec 16, 2008 · Short Hills, Nj
- R•• C•••••• M••••••• L•• national BDMay 10, 2002 to May 5, 2003 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 26, 2022, registered Jul 18, 2022 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 16, 2008, registered Dec 12, 2008 (-4 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 5, 2003, registered Apr 10, 2003 (-25 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJul 26, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address