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

A•••• C••• G••••••

O•••• W•••••• I•••BD affiliatedWyckoff, Njdual registrantIAPD 2611328

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Oct 11, 2024

In the industry

31 y

since May 17, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Oct 11, 2024 · Wyckoff, Nj
A••••••• P••••••••• A•••••••• I•• former
Aug 6, 2013 to Oct 11, 2024 · Holbrook, Ny
C• W••••• M••••••••• L•• independent RIA
Oct 3, 2011 to Aug 5, 2013 · Schaumburg, Il
W•••••• S••••••••• C••••••••• unclassified
Oct 19, 2005 to Sep 30, 2011 · Teaneck, Nj
W••• S••••• F•••••••• G••••• I•• former
May 18, 2005 to Jun 17, 2005 · Teaneck, Nj
T•• I••••••••• C•••••• I••• unclassified
Jun 29, 2004 to Dec 31, 2004 · Teaneck, Nj

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
C• W••••• M••••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Aug 5, 2013, registered Aug 6, 2013 (1 days) · Other
W•••••• S••••••••• C••••••••• to C• W••••• M••••••••• L••
left Sep 30, 2011, registered Oct 3, 2011 (3 days) · Other
W••• S••••• F•••••••• G••••• I•• to W•••••• S••••••••• C•••••••••
left Jun 17, 2005, registered Oct 19, 2005 (124 days) · Other
T•• I••••••••• C•••••• I••• to W••• S••••• F•••••••• G••••• I••
left Dec 31, 2004, registered May 18, 2005 (138 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: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address