DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• J••• P••••••
Personal Financial Specialist
Feed of 09/14/2026
At current firm
6 y
since Mar 4, 2020
In the industry
16 y
since Feb 8, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- M••••• G••••• A••••••• I••• independent RIA currentsince Mar 4, 2020 · Berkeley Heights, Nj
- T••••• S••••• W••••• M••••••••• L•• formerFeb 9, 2010 to Nov 1, 2018 · Princeton, Nj
Moves
a registration end followed by a registration begin elsewhere
- T••••• S••••• W••••• M••••••••• L•• to M••••• G••••• A••••••• I•••left Nov 1, 2018, registered Mar 4, 2020 (489 days) · RIA to RIA · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address