DFX Intelligence
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Registered advisor
R••••• R••••
Feed of 09/14/2026
Also filed as R••• R••••
At current firm
0 y
since Oct 1, 2025
In the industry
26 y
since Mar 9, 2000 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 1, 2025 · Manalapan, Nj
- C••••••••• F•••••••• N•••••• national BDJun 5, 2020 to Oct 1, 2025 · Manalapan, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDNov 22, 2013 to Jun 9, 2020 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2004 to Nov 25, 2013 · East Brunswick, Nj
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••left Oct 1, 2025, registered Oct 1, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jun 9, 2020, registered Jun 5, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 25, 2013, registered Nov 22, 2013 (-3 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- R••••• R•••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2025-10-01)Oct 1, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address