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•••••• M•••••• D••••••••

L•• F•••••••• L••BD affiliatedFairfield, Njdual registrantIAPD 2422394

Feed of 09/14/2026

At current firm

1 y

since Apr 17, 2025

In the industry

26 y

since Dec 20, 1999 (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

L•• F•••••••• L•• BD affiliated current
since Apr 17, 2025 · Fairfield, Nj
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Apr 17, 2025 · Scottsdale, Az
A••••••• P••••••••• A•••••••• I•• former
Aug 30, 2016 to Oct 11, 2024 · Holbrook, Ny
F•••• A••••• A••••••• S•••••••• I••• former
Jun 29, 2015 to Aug 10, 2016 · Fairfield, Nj
S•• I••••••••• I••• former
Apr 10, 2001 to Jun 16, 2015 · Fairfield, Nj

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Apr 17, 2025, registered Apr 17, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
F•••• A••••• A••••••• S•••••••• I••• to A••••••• P••••••••• A•••••••• I••
left Aug 10, 2016, registered Aug 30, 2016 (20 days) · Other
S•• I••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Jun 16, 2015, registered Jun 29, 2015 (13 days) · Other · moved with a team

Signals

R•••••• M•••••• D•••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-04-17)
Apr 17, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address