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

C••••••• J•••• B•••

L•• F•••••••• L••BD affiliatedBudd Lake, Njdual registrantIAPD 4263447

Feed of 09/14/2026

At current firm

1 y

since Mar 6, 2025

In the industry

24 y

since Feb 11, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Mar 6, 2025 · Budd Lake, Nj
I• A••••••• S•••••••• I••• former
Apr 2, 2018 to Mar 6, 2025 · Montville, Nj
A•••••• A••••••• S••••••• former
Sep 3, 2009 to Apr 4, 2018 · Hopatcong, Nj
W•••• F•••• A••••••• wirehouse
Mar 24, 2008 to Sep 2, 2009 · Millb•••, Nj
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Dec 8, 2004 to Mar 26, 2008 · Hackettstown, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
May 23, 2002 to Jun 26, 2003 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

I• A••••••• S•••••••• I••• to L•• F•••••••• L••
left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
A•••••• A••••••• S••••••• to I• A••••••• S•••••••• I•••
left Apr 4, 2018, registered Apr 2, 2018 (-2 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to A•••••• A••••••• S•••••••
left Sep 2, 2009, registered Sep 3, 2009 (1 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Mar 26, 2008, registered Mar 24, 2008 (-2 days) · Other
C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jun 26, 2003, registered Dec 8, 2004 (531 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address