DFX Intelligence
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Registered advisor
T••••• F•••••••••
Feed of 09/14/2026
Also filed as T••••• A••••• F••••••••• N••••••• F•••••••••
At current firm
15 y
since May 10, 2011
In the industry
30 y
since Apr 12, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince May 10, 2011 · Blackwood, Nj
- F•••••••• P••••••• A••••••••• unclassifiedJan 4, 2008 to Aug 12, 2011 · Pleasantville, Ny
- L•••••• S•••• W••••• M••••••••• I••• unclassifiedJan 29, 2007 to Jan 18, 2008 · Cherry Hill, Nj
- L•••••• S•••• W••••• M••••••••• I••• unclassifiedMay 26, 2005 to Dec 31, 2006 · Cherry Hill, Nj
- R• C••••••••• G••••• L•• unclassifiedApr 27, 2005 to Dec 18, 2009 · Cherry Hill, Nj
- R• C••••••••• G••••• L•• unclassifiedMar 3, 2003 to Dec 31, 2004 · Cherry Hill, Nj
- E•••••••• A•••••••• L•• national BDJul 31, 2002 to Dec 11, 2002 · Marlton, Nj
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• P••••••• A••••••••• to I••••••••• F•••••••• G••••• L••left Aug 12, 2011, registered May 10, 2011 (-94 days) · Other
- R• C••••••••• G••••• L•• to L•••••• S•••• W••••• M••••••••• I•••left Dec 18, 2009, registered May 26, 2005 (-1667 days) · Other
- L•••••• S•••• W••••• M••••••••• I••• to F•••••••• P••••••• A•••••••••left Jan 18, 2008, registered Jan 4, 2008 (-14 days) · Other
- E•••••••• A•••••••• L•• to R• C••••••••• G••••• L••left Dec 11, 2002, registered Mar 3, 2003 (82 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address