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••• M• H•••

J••• M••••• S••••••••• L••wirehouseWaldwick, Nj dual registrantIAPD 4461134

Feed of 09/14/2026

Also filed as R••• H•••

At current firm

2 y

since May 6, 2024

In the industry

22 y

since Oct 1, 2003 (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

J••• M••••• S••••••••• L•• wirehouse current
since May 6, 2024 · Waldwick, Nj
P•••••• A•••••• G••••• L•• BD affiliated
Feb 21, 2023 to Feb 14, 2024 · Morristown, Nj
M••••• S•••••• wirehouse
Oct 6, 2014 to Mar 7, 2023 · Morristown, Nj
E••••• J•••• national BD
Mar 28, 2014 to Jun 23, 2014 · Upper Saddle River, Nj
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 28, 2013 · Morristown, Nj
M••••• S•••••• • C•• L•• unclassified
May 29, 2008 to Jun 1, 2009 · Morristown, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 21, 2007 to Jun 12, 2008 · Little Falls, Nj
L•••• A••••• • C•• L•• asset manager
Mar 30, 2004 to Aug 9, 2007 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

P•••••• A•••••• G••••• L•• to J••• M••••• S••••••••• L••
left Feb 14, 2024, registered May 6, 2024 (82 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to P•••••• A•••••• G••••• L••
left Mar 7, 2023, registered Feb 21, 2023 (-14 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to M••••• S••••••
left Jun 23, 2014, registered Oct 6, 2014 (105 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to E••••• J••••
left Aug 28, 2013, registered Mar 28, 2014 (212 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••
left Jun 12, 2008, registered May 29, 2008 (-14 days) · Other
L•••• A••••• • C•• L•• to C•••••••• G••••• M•••••• I•••
left Aug 9, 2007, registered Aug 21, 2007 (12 days) · Other

Signals

R••• M• H••• left P•••••• A•••••• G••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-05-06)
Feb 14, 2024 · a•••••• firm change · fact
R••• M• H••• left M••••• S•••••• for P•••••• A•••••• G••••• L•• (registered 2023-02-21)
Mar 7, 2023 · a•••••• firm change · 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address