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.

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Registered advisor

D••••• P•••••• C••••

J••••• M••••••••• S•••• L••BD affiliatedShort Hills, Njdual registrantIAPD 1898012

Feed of 09/14/2026

At current firm

1 y

since Jun 26, 2025

In the industry

36 y

since Oct 4, 1989 (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

J••••• M••••••••• S•••• L•• BD affiliated current
since Jun 26, 2025 · Short Hills, Nj
U•• F•••••••• S••••••• I••• wirehouse
May 22, 2014 to Jul 24, 2025 · Short Hills, Nj
J••• M••••• S••••••••• L•• wirehouse
Jan 9, 2006 to Jun 16, 2014 · Morristown, Nj
A• G• E•••••• • S•••• I••• unclassified
Mar 23, 2004 to Jan 17, 2006 · Short Hills, Nj

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••
left Jul 24, 2025, registered Jun 26, 2025 (-28 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••
left Jun 16, 2014, registered May 22, 2014 (-25 days) · Wirehouse to wirehouse
A• G• E•••••• • S•••• I••• to J••• M••••• S••••••••• L••
left Jan 17, 2006, registered Jan 9, 2006 (-8 days) · Other

Signals

Daniel Patrick Clark left Ubs Financial Services Inc. for Janney Montgomery Scott Llc (registered 2025-06-26)
Jul 24, 2025 · 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address