DFX Intelligence
RIA Intelligence
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Registered advisor
M••• L••••• R•••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
9 y
since Jun 15, 2017
In the industry
35 y
since Jul 19, 1991 (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
- C•••••• A••••••• BD affiliated currentsince Oct 13, 2020 · Glen Rock, Nj
- L•••••• I••••••••• independent RIA currentsince Jun 15, 2017 · Glen Rock, Nj
- L••••• A•••••••• L•• formerDec 3, 2002 to Oct 4, 2019 · Palm Beach Gardens, Fl
Moves
a registration end followed by a registration begin elsewhere
- L••••• A•••••••• L•• to L•••••• I•••••••••left Oct 4, 2019, registered Jun 15, 2017 (-841 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address