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

R••••• W•••••• S••••••

A••••• A•• P••••••• S•••••••BD affiliatedMarlton, Nj dual registrantIAPD 1609048

Feed of 09/14/2026

At current firm

10 y

since Oct 23, 2015

In the industry

28 y

since Oct 1, 1997 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Oct 23, 2015 · Marlton, Nj
V••• F•••••••• A•••••••• I••• BD affiliated
Jul 27, 2007 to Nov 13, 2009 · Marlton, Nj
A••••••••• A•••••• S•••••••• I••• unclassified
Apr 17, 2006 to Jan 4, 2007 · Jenkintown, Pa
T• W••••• M••••••••• S••••••• I••• unclassified
Mar 3, 2004 to Jan 5, 2006 · Northfield, Nj
W•••• F•••• A••••••• wirehouse
Jan 9, 2004 to Feb 25, 2004 · Cherry Hill, Nj
E•••••••• A•••••••• L•• national BD
Jul 30, 2002 to Jul 18, 2003 · Manasquan, Nj

Moves

a registration end followed by a registration begin elsewhere

V••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••
left Nov 13, 2009, registered Oct 23, 2015 (2170 days) · Other
A••••••••• A•••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••
left Jan 4, 2007, registered Jul 27, 2007 (204 days) · Other
T• W••••• M••••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Jan 5, 2006, registered Apr 17, 2006 (102 days) · Other
W•••• F•••• A••••••• to T• W••••• M••••••••• S••••••• I•••
left Feb 25, 2004, registered Mar 3, 2004 (7 days) · Other
E•••••••• A•••••••• L•• to W•••• F•••• A•••••••
left Jul 18, 2003, registered Jan 9, 2004 (175 days) · Affiliated broker-dealer or bank to wirehouse

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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address