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

R•••••• L••• D••••••

S•• W••••• A•••••••• L••independent RIAParsippany, NjIA-onlyIAPD 4168112

Feed of 09/14/2026

At current firm

2 y

since Oct 5, 2023

In the industry

24 y

since May 23, 2002 (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

S•• W••••• A•••••••• L•• independent RIA current
since Oct 5, 2023 · Parsippany, Nj
S•••••• F•••••••• P•••••••• L•• independent RIA
Mar 8, 2022 to Sep 27, 2023 · Bethesda, Md
U•• F•••••••• S••••••• I••• wirehouse
Oct 14, 2020 to Mar 25, 2022 · Washington, Dc
L•• F•••••••• I••• former
Apr 20, 2018 to Aug 1, 2018 · Bethesda, Md

Moves

a registration end followed by a registration begin elsewhere

S•••••• F•••••••• P•••••••• L•• to S•• W••••• A•••••••• L••
left Sep 27, 2023, registered Oct 5, 2023 (8 days) · RIA to RIA
U•• F•••••••• S••••••• I••• to S•••••• F•••••••• P•••••••• L••
left Mar 25, 2022, registered Mar 8, 2022 (-17 days) · Wirehouse to independent RIA
L•• F•••••••• I••• to U•• F•••••••• S••••••• I•••
left Aug 1, 2018, registered Oct 14, 2020 (805 days) · Affiliated broker-dealer or bank to wirehouse

Signals

R•••••• L••• D•••••• left S•••••• F•••••••• P•••••••• L•• for S•• W••••• A•••••••• L•• (registered 2023-10-05)
Sep 27, 2023 · Advisor changed firm · fact
R•••••• L••• D•••••• left U•• F•••••••• S••••••• I••• for S•••••• F•••••••• P•••••••• L•• (registered 2022-03-08)
Mar 25, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address