DFX Intelligence
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Registered advisor
R••••• C•••••• L•••••
Feed of 09/14/2026
At current firm
7 y
since Oct 1, 2018
In the industry
28 y
since Apr 10, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2018 · Ocean City, Nj
- P•• W••••• M••••••••• BD affiliatedJan 15, 2015 to Oct 4, 2018 · Linwood, Nj
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 18, 2011 to Mar 3, 2014 · Mount Laurel, Nj
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to L•• F•••••••• L••left Oct 4, 2018, registered Oct 1, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to P•• W••••• M•••••••••left Mar 3, 2014, registered Jan 15, 2015 (318 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address