DFX Intelligence
RIA 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
R•••••• R•••••• M••••••
Feed of 09/15/2026
Also filed as R•••••• M••••••
At current firm
1 y
since Nov 20, 2024
In the industry
25 y
since Feb 8, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••••• S••••••••• I••• BD affiliated currentsince Nov 20, 2024 · New Providence, Nj
- C•••••• S••••• • C••• I••• national BDMay 17, 2022 to Dec 3, 2024 · Short Hills, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 17, 2007 to Sep 7, 2023 · New York, Ny
- T• A••••••••• I••• formerJul 17, 2007 to Oct 14, 2022 · New York, Ny
- W•••• F•••• A••••••• wirehouseAug 7, 2003 to Nov 27, 2006 · East Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to C••••••• S••••••••• I•••left Dec 3, 2024, registered Nov 20, 2024 (-13 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered May 17, 2022 (-478 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 17, 2007 (-5568 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left Nov 27, 2006, registered Jul 17, 2007 (232 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Signals
- R•••••• R•••••• M•••••• left C•••••• S••••• • C••• I••• for C••••••• S••••••••• I••• (registered 2024-11-20)Dec 3, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address