DFX Intelligence
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Registered advisor
W•••••• B•••••• M•••••••••
Feed of 09/15/2026
At current firm
10 y
since Nov 6, 2015
In the industry
40 y
since Jul 23, 1986 (earliest exam, job or registration)
Prior registered firms
3
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
- O••••••••• S••••••••• I••• BD affiliated currentsince Nov 6, 2015 · Parsippany, Nj
- I••••• F•••••••• C••••••••• formerFeb 15, 2007 to Dec 1, 2014 · Pennington, Nj
- W•••• F•••• A••••••• wirehouseOct 29, 2002 to Feb 14, 2007 · Ridgefield Park, Nj
- Q•••• • R•••••• I••• unclassifiedSep 9, 2002 to Oct 15, 2002 · Bridgewater, Nj
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to O••••••••• S••••••••• I•••left Dec 1, 2014, registered Nov 6, 2015 (340 days) · Other
- W•••• F•••• A••••••• to I••••• F•••••••• C•••••••••left Feb 14, 2007, registered Feb 15, 2007 (1 days) · Other
- Q•••• • R•••••• I••• to W•••• F•••• A•••••••left Oct 15, 2002, registered Oct 29, 2002 (14 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address