DFX Intelligence
RIA Intelligence
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Registered advisor
C•••• D••••• L••••
Feed of 09/14/2026
Also filed as C•••• D••••• L••••
At current firm
7 y
since Feb 25, 2019
In the industry
39 y
since Sep 1, 1987 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
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
- L•• F•••••••• L•• BD affiliated currentsince Feb 25, 2019 · Wall Township, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJul 30, 2002 to Mar 8, 2019 · Freehold, Nj
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 8, 2019, registered Feb 25, 2019 (-11 days) · Affiliated broker-dealer or bank to independent 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address