DFX Intelligence
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Registered advisor
S••••• F••••• B••
Feed of 09/14/2026
Also filed as S••••• F• B••••••••• B••
At current firm
3 y
since Sep 30, 2022
In the industry
31 y
since Nov 3, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Sep 30, 2022 · Clifton, Nj
- I••••• F•••••••• C••••••••• formerSep 19, 2006 to Oct 25, 2006 · E. Hanover, Nj
- M•• F•••••••• S•••••••• I••• formerJun 30, 2006 to Sep 21, 2006 · Roseland, Nj
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 25, 2005 to Oct 11, 2005 · Melville, Ny
- I••••• F•••••••• C••••••••• formerDec 8, 2003 to Jun 2, 2004 · Ridgefield, Nj
- Q•••• • R•••••• I••• unclassifiedSep 10, 2002 to May 29, 2003 · Hackensack, Nj
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to S•••• F••• I••••••••• M••••••••• C••••left Oct 25, 2006, registered Sep 30, 2022 (5819 days) · Other
- M•• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Sep 21, 2006, registered Sep 19, 2006 (-2 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 11, 2005, registered Jun 30, 2006 (262 days) · Other
- I••••• F•••••••• C••••••••• to C•••••• O•• F•••••••• A••••••• L••left Jun 2, 2004, registered Jan 25, 2005 (237 days) · Other
- Q•••• • R•••••• I••• to I••••• F•••••••• C•••••••••left May 29, 2003, registered Dec 8, 2003 (193 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address