DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
5 y
since Jan 8, 2021
In the industry
30 y
since Apr 15, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Jan 8, 2021 · Mount Laurel, Nj
- U•• F•••••••• S••••••• I••• wirehouseApr 17, 2009 to Feb 19, 2021 · Princeton, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 2, 2004 to May 7, 2009 · L•••••••Ville, Nj
- M••••• S•••••• D• I••• unclassifiedJul 5, 2002 to Aug 4, 2004 · L•••••••Vill, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Feb 19, 2021, registered Jan 8, 2021 (-42 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left May 7, 2009, registered Apr 17, 2009 (-20 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Aug 4, 2004, registered Aug 2, 2004 (-2 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address