DFX Intelligence
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Registered advisor
L••••• P•••••• S•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as L••••• A•• P••••••••• P• S•••••••
At current firm
4 y
since Mar 23, 2022
In the industry
27 y
since Jan 12, 1999 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Mar 23, 2022 · Princeton, Nj
- U•• F•••••••• S••••••• I••• wirehouseNov 16, 2012 to Apr 8, 2022 · Princeton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 5, 2006 to Nov 19, 2012 · East Brunswick, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 9, 2002 to Jul 13, 2006 · New Brunswick, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Apr 8, 2022, registered Mar 23, 2022 (-16 days) · Wirehouse to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 19, 2012, registered Nov 16, 2012 (-3 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 13, 2006, registered Jul 5, 2006 (-8 days) · Other
Signals
- ••• LockedApr 8, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address