DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••••••••• A••• L•••••
Feed of 09/14/2026
Also filed as C••••••••• A••• L••••••••• L•••••
At current firm
8 y
since Apr 2, 2018
In the industry
25 y
since Dec 21, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
10
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Apr 2, 2018 · Mount Laurel, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedSep 26, 2012 to Mar 5, 2018 · Princeton, Nj
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 30, 2008 to Sep 13, 2012 · Mount Laurel, Nj
- L•••••• F•••••••• D••••••••• I••• unclassifiedAug 11, 2003 to Jun 24, 2008 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2002 to Oct 21, 2003 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to V•••• F•••••••• A•••••••• I•••left Mar 5, 2018, registered Apr 2, 2018 (28 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Sep 13, 2012, registered Sep 26, 2012 (13 days) · Other
- L•••••• F•••••••• D••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jun 24, 2008, registered Jun 30, 2008 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••• F•••••••• D••••••••• I•••left Oct 21, 2003, registered Aug 11, 2003 (-71 days) · Other
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address