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

B•••• S••••••

L•• E••••••••• L••BD affiliatedBedminster, Njdual registrantIAPD 2255564

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Jun 3, 2026

In the industry

32 y

since Oct 30, 1993 (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

L•• E••••••••• L•• BD affiliated current
since Jun 3, 2026 · Bedminster, Nj
M••••••••• R••••••••• BD affiliated
Mar 24, 2025 to Apr 17, 2026 · Bloomfield, Nj
A•••••• A••••••• S••••••• former
Mar 1, 2018 to Mar 7, 2025 · Bloomfield, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 2, 2017 to Mar 15, 2018 · New York, Ny
A•••••• A••••••• S••••••• former
Feb 3, 2016 to Feb 3, 2017 · Bloomfield, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 21, 2014 to Feb 3, 2016 · Teaneck, Nj
E•••••••• A•••••••• L•• national BD
Dec 5, 2008 to Nov 3, 2014 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••••••• R••••••••• to L•• E••••••••• L••
left Apr 17, 2026, registered Jun 3, 2026 (47 days) · Affiliated broker-dealer or bank to another
A•••••• A••••••• S••••••• to M••••••••• R•••••••••
left Mar 7, 2025, registered Mar 24, 2025 (17 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to A•••••• A••••••• S•••••••
left Mar 15, 2018, registered Mar 1, 2018 (-14 days) · Other
A•••••• A••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left Feb 3, 2017, registered Feb 2, 2017 (-1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• A••••••• S•••••••
left Feb 3, 2016, registered Feb 3, 2016 (0 days) · Other
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 3, 2014, registered Nov 21, 2014 (18 days) · Affiliated broker-dealer or bank to wirehouse

Signals

B•••• S•••••• left M••••••••• R••••••••• for L•• E••••••••• L•• (registered 2026-06-03)
Apr 17, 2026 · Advisor changed firm · fact
B•••• S•••••• left A•••••• A••••••• S••••••• for M••••••••• R••••••••• (registered 2025-03-24)
Mar 7, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address