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•••••• L•• R•••

N•• A•••• M••••••••• L••BD affiliatedFair Lawn, Njdual registrantIAPD 2131273

Feed of 09/14/2026

Also filed as Rick R•••

At current firm

8 y

since Jan 9, 2018

In the industry

35 y

since Apr 17, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•• A•••• M••••••••• L•• BD affiliated current
since Jan 9, 2018 · Fair Lawn, Nj
N•• A•••• M••••••••• L•• BD affiliated
May 11, 2010 to Dec 31, 2017 · Fair Lawn, Nj
W•••• F•••• A••••••• wirehouse
Aug 28, 2008 to Dec 31, 2009 · New York, Ny
T• W••••• M••••••••• S••••••• I••• unclassified
Sep 8, 2006 to Aug 11, 2008 · New York, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Sep 11, 2006 · Glen Rock, Nj
Q•••• • R•••••• I••• unclassified
Nov 22, 2002 to Oct 20, 2004 · Ridgewood, Nj

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to N•• A•••• M••••••••• L••
left Dec 31, 2009, registered May 11, 2010 (131 days) · Other
T• W••••• M••••••••• S••••••• I••• to W•••• F•••• A•••••••
left Aug 11, 2008, registered Aug 28, 2008 (17 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to T• W••••• M••••••••• S••••••• I•••
left Sep 11, 2006, registered Sep 8, 2006 (-3 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address