DFX Intelligence
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Registered advisor
C••••••••• R••••• A••••••••
Feed of 09/14/2026
At current firm
2 y
since Mar 21, 2024
In the industry
30 y
since Oct 25, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Eatontown, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 28, 2019 to Jul 1, 2022 · Eatontown, Nj
- M••••• S•••••• wirehouseMar 29, 2019 to May 1, 2019 · Red Bank, Nj
- C•••••• S••••• • C••• I••• national BDNov 5, 2004 to Apr 26, 2019 · Morristown, Nj
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2002 to Nov 3, 2004 · Florham_park, Nj
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jul 1, 2022, registered Mar 21, 2024 (629 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to B• R•••• W••••• A•••••••• I•••left May 1, 2019, registered Aug 28, 2019 (119 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M••••• S••••••left Apr 26, 2019, registered Mar 29, 2019 (-28 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Nov 3, 2004, registered Nov 5, 2004 (2 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJul 1, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address