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

J•••• L••••••• C•••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedRed Bank, Njdual registrantIAPD 2642223

Feed of 09/14/2026

At current firm

0 y

since Nov 18, 2025

In the industry

31 y

since Sep 6, 1995 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Nov 18, 2025 · Red Bank, Nj
A•••• I••••••••• G•••• independent RIA
Oct 3, 2022 to Nov 14, 2025 · Wayne, Pa
C••••••• • C••• I••• former
Sep 25, 2017 to Sep 21, 2022 · Red Bank, Nj
O••••••••• • C•• I••• BD affiliated
Dec 17, 2010 to Sep 22, 2017 · Red Bank, Nj
W•••• F•••• A••••••• wirehouse
Oct 5, 2005 to Oct 22, 2010 · Red Bank, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 2, 2000 to Oct 4, 2005 · Red Bank, Nj

Moves

a registration end followed by a registration begin elsewhere

A•••• I••••••••• G•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Nov 14, 2025, registered Nov 18, 2025 (4 days) · RIA to affiliated broker-dealer or bank
C••••••• • C••• I••• to A•••• I••••••••• G••••
left Sep 21, 2022, registered Oct 3, 2022 (12 days) · Affiliated broker-dealer or bank to independent RIA
O••••••••• • C•• I••• to C••••••• • C••• I•••
left Sep 22, 2017, registered Sep 25, 2017 (3 days) · Other
W•••• F•••• A••••••• to O••••••••• • C•• I•••
left Oct 22, 2010, registered Dec 17, 2010 (56 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Oct 4, 2005, registered Oct 5, 2005 (1 days) · Wirehouse to wirehouse

Signals

J•••• L••••••• C••• left A•••• I••••••••• G•••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-11-18)
Nov 14, 2025 · Advisor changed firm · fact
J•••• L••••••• C••• left C••••••• • C••• I••• for A•••• I••••••••• G•••• (registered 2022-10-03)
Sep 21, 2022 · 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address