DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• C••••••••• L••••
Certified Financial Planner · Chartered Financial Analyst
Feed of 09/14/2026
At current firm
7 y
since Oct 16, 2018
In the industry
28 y
since Aug 7, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- E•••••• F•••••••• E•••••• independent RIA currentsince Oct 16, 2018 · Haddonfield, Nj
- E•••••• F•••••••• S•••••••• L•• formerSep 17, 2013 to Nov 1, 2018 · Fairfax, Va
- C•••••• S••••• • C••• I••• national BDAug 7, 2002 to Sep 24, 2013 · Washington Dc, Dc
- W•••• F•••• I••••••••• L•• unclassifiedJul 20, 2001 to Jul 29, 2002 · Santa Ana, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Oct 16, 2018 (-16 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to E•••••• F•••••••• S•••••••• L••left Sep 24, 2013, registered Sep 17, 2013 (-7 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 29, 2002, registered Aug 7, 2002 (9 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address