DFX Intelligence
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Registered advisor
S•••••••• L••••
Feed of 09/14/2026
Also filed as S•• L••••••••• N••• L••••••••• L•••••••• L••••••••• L••••
At current firm
3 y
since Aug 30, 2023
In the industry
15 y
since Nov 24, 2010 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Aug 30, 2023 · Ramsey, Nj
- M••••• S•••••• wirehouseJan 4, 2023 to Aug 17, 2023 · Morristown, Nj
- E•••••• C•••••• M••••••••• L•• formerFeb 29, 2016 to Aug 21, 2023 · Morristown, Nj
- M••••• S•••••• wirehouseJul 2, 2013 to Feb 1, 2016 · Short Hills, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2011 to Jun 25, 2013 · Wayne, Nj
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Aug 21, 2023, registered Jan 4, 2023 (-229 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to T• P•••••• C••••• W••••• L••left Aug 17, 2023, registered Aug 30, 2023 (13 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Feb 1, 2016, registered Feb 29, 2016 (28 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 25, 2013, registered Jul 2, 2013 (7 days) · Wirehouse to wirehouse
Signals
- ••• LockedAug 17, 2023 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address