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

T••••• F• S••••••••

W•••• F•••• A•••••••wirehouseRed Bank, Njdual registrantIAPD 4487219

Feed of 09/14/2026

At current firm

1 y

since Sep 8, 2025

In the industry

17 y

since Jan 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Sep 8, 2025 · Red Bank, Nj
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Sep 10, 2025 · Holmdel, Nj
P•••• S••••••••• L•• no RAUM
Aug 29, 2023 to Nov 14, 2024 · East Brunswick, Nj
G•• S••••••••• I••• BD affiliated
Aug 17, 2021 to Aug 29, 2023 · Palm Beach Gardens, Fl
O•••• W•••••• I••• BD affiliated
Sep 25, 2017 to Aug 18, 2021 · Ocean City, Nj
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Feb 24, 2011 to Sep 27, 2017 · Moorestown, Nj

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to W•••• F•••• A•••••••
left Sep 10, 2025, registered Sep 8, 2025 (-2 days) · Affiliated broker-dealer or bank to wirehouse
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
G•• S••••••••• I••• to P•••• S••••••••• L••
left Aug 29, 2023, registered Aug 29, 2023 (0 days) · Affiliated broker-dealer or bank to another
O•••• W•••••• I••• to G•• S••••••••• I•••
left Aug 18, 2021, registered Aug 17, 2021 (-1 days) · Affiliated broker-dealer or bank to another
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••
left Sep 27, 2017, registered Sep 25, 2017 (-2 days) · Other · moved with a team

Signals

T••••• F• S•••••••• left L•• E••••••••• L•• for W•••• F•••• A••••••• (registered 2025-09-08)
Sep 10, 2025 · Advisor changed firm · fact
T••••• F• S•••••••• left G•• S••••••••• I••• for P•••• S••••••••• L•• (registered 2023-08-29)
Aug 29, 2023 · 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address