DFX Intelligence
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Registered advisor
A•• M• R•••••••
Feed of 09/15/2026
At current firm
3 y
since May 15, 2023
In the industry
27 y
since Jul 24, 1999 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 15, 2023 · Westfield, Nj
- W•••• F•••• A••••••• wirehouseSep 16, 2005 to May 12, 2023 · Short Hills, Nj
- M••••• S•••••• D• I••• unclassifiedMay 23, 2002 to Aug 29, 2005 · Fairfield, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 12, 2023, registered May 15, 2023 (3 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Aug 29, 2005, registered Sep 16, 2005 (18 days) · Other
Signals
- ••• LockedSep 21, 2026 · Advisor registration ended · derived
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address