DFX Intelligence
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R••••• R•••••• H•••••
As of · the IAPD feed
- At current firm
- 1 y
- In the industry
- 31 y
- Prior registered firms
- 3
- Signals
- 1
since Dec 2, 2024
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Dec 2, 2024 · Toms River, Nj
- L•• F•••••••• L•• BD affiliatedMar 12, 2009 to Dec 16, 2024 · Toms River, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 19, 2004 to Mar 19, 2009 · Freehold , Nj
- W•••• F•••• A••••••• wirehouseFeb 5, 2004 to Nov 30, 2004 · Lakewood, Nj
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 16, 2024, registered Dec 2, 2024 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 19, 2009, registered Mar 12, 2009 (-7 days) · Other
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 30, 2004, registered Nov 19, 2004 (-11 days) · Other
Signals
- ••• LockedDec 16, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address