DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

T•••••• O••• U•••

L••••• E••• A•••••••independent RIARoseland, NjIA-onlyIAPD 3175221

Certified Financial Planner

Feed of 09/14/2026

Also filed as T•••••• O••• U•••

At current firm

0 y

since Jan 1, 2026

In the industry

27 y

since May 19, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L••••• E••• A••••••• independent RIA current
since Jan 1, 2026 · Roseland, Nj
W••••••••• P•••••••• L•• independent RIA
May 12, 2021 to Nov 1, 2023 · Chatham, Nj
A••••• A•• P••••••• S••••••• BD affiliated
Mar 6, 2008 to Nov 13, 2020 · Philadelphia, Pa
T• W••••• M••••••••• S••••••• I••• unclassified
Jun 3, 2005 to Apr 25, 2006 · Cherry Hill, Nj
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 30, 2002 to Jan 25, 2005 · Marlton, Nj

Moves

a registration end followed by a registration begin elsewhere

W••••••••• P•••••••• L•• to L••••• E••• A•••••••
left Nov 1, 2023, registered Jan 1, 2026 (792 days) · RIA to RIA · moved with a team
A••••• A•• P••••••• S••••••• to W••••••••• P•••••••• L••
left Nov 13, 2020, registered May 12, 2021 (180 days) · Affiliated broker-dealer or bank to independent RIA
T• W••••• M••••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••
left Apr 25, 2006, registered Mar 6, 2008 (681 days) · Other
A••••••••• F•••••••• S•••••••• L•• to T• W••••• M••••••••• S••••••• I•••
left Jan 25, 2005, registered Jun 3, 2005 (129 days) · Other

Signals

T•••••• O••• U••• left W••••••••• P•••••••• L•• for L••••• E••• A••••••• (registered 2026-01-01)
Nov 1, 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address