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

D•••• B•••• S••••••

P••••• D•• I••••••••• L••state registeredSpringfield, NjIA-onlyIAPD 2488160

Feed of 09/14/2026

At current firm

1 y

since Jan 30, 2025

In the industry

32 y

since Jul 22, 1994 (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

P••••• D•• I••••••••• L•• state registered current
since Jan 30, 2025 · Springfield, Nj
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 18, 2024 to May 6, 2024 · Springfield, Nj
P••••• D•• I••••••••• L•• state registered
Apr 25, 2019 to Dec 31, 2023 · Springfield, Nj
P••••• D•• I••••••••• L•• state registered
Apr 25, 2019 to Dec 31, 2024 · Springfield, Nj
C••••• A••••••• L•• former
Oct 3, 2016 to Apr 5, 2024 · Springfield, Nj
I•••••••• C•••••• A••••••• former
Jan 24, 2005 to Oct 3, 2016 · Lynnfield, Ma

Moves

a registration end followed by a registration begin elsewhere

P••••• D•• I••••••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 31, 2024, registered Mar 18, 2024 (-288 days) · Other
C••••• I••••••••• A••••••• L•• to P••••• D•• I••••••••• L••
left May 6, 2024, registered Jan 30, 2025 (269 days) · Affiliated broker-dealer or bank to a state-registered adviser
C••••• A••••••• L•• to P••••• D•• I••••••••• L••
left Apr 5, 2024, registered Apr 25, 2019 (-1807 days) · Affiliated broker-dealer or bank to a state-registered adviser
I•••••••• C•••••• A••••••• to C••••• A••••••• L••
left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team

Signals

D•••• B•••• S•••••• left P••••• D•• I••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-18)
Dec 31, 2024 · Advisor changed firm · fact
D•••• B•••• S•••••• left C••••• I••••••••• A••••••• L•• for P••••• D•• I••••••••• L•• (registered 2025-01-30)
May 6, 2024 · Advisor changed firm · fact
D•••• B•••• S•••••• left C••••• A••••••• L•• for P••••• D•• I••••••••• L•• (registered 2019-04-25)
Apr 5, 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: STATE REGISTEREDderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address