DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• M•••••• D•••••
Feed of 09/14/2026
At current firm
9 y
since Dec 8, 2016
In the industry
33 y
since Apr 27, 1993 (earliest exam, job or registration)
Prior registered firms
4
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
- R•• C•••••• M••••••• L•• national BD currentsince Dec 8, 2016 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 5, 2008 to Dec 15, 2016 · Warren, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 9, 2008 · Morristown, Nj
- M••••• S•••••• D• I••• unclassifiedSep 9, 2004 to Apr 2, 2007 · Morristown, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 11, 2002 to Sep 23, 2004 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Dec 15, 2016, registered Dec 8, 2016 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Dec 9, 2008, registered Dec 5, 2008 (-4 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Sep 23, 2004, registered Sep 9, 2004 (-14 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address