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

S•••• C••••••••• B••••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedWindsor, Njdual registrantIAPD 2342252

Feed of 09/14/2026

At current firm

2 y

since Feb 26, 2024

In the industry

33 y

since Jul 6, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Feb 26, 2024 · Windsor, Nj
C•••••• A••••••• BD affiliated
Dec 13, 2023 to Jan 23, 2024 · Marlton, Nj
L•••••• I••••••••• independent RIA
Dec 13, 2023 to Jan 23, 2024 · Marlton, Nj
I•••••• A•••••••• I••• asset manager
Sep 17, 2010 to Dec 6, 2010 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 23, 2024, registered Feb 26, 2024 (34 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to C•••••• A•••••••
left Jan 23, 2024, registered Dec 13, 2023 (-41 days) · RIA to affiliated broker-dealer or bank
I•••••• A•••••••• I••• to L•••••• I•••••••••
left Dec 6, 2010, registered Dec 13, 2023 (4755 days) · Other

Signals

S•••• C••••••••• B•••••••• left C•••••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-02-26)
Jan 23, 2024 · Advisor changed firm · fact
S•••• C••••••••• B•••••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2023-12-13)
Jan 23, 2024 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address