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••••• W•••••• B••••••

E•••••• F•••••••• E••••••independent RIAParamus, NjIA-onlyIAPD 4576201

Feed of 09/14/2026

Also filed as R••••• W•••••• B••••••

At current firm

4 y

since Mar 17, 2022

In the industry

23 y

since Nov 21, 2002 (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

E•••••• F•••••••• E•••••• independent RIA current
since Mar 17, 2022 · Paramus, Nj
C•••••• S••••• • C••• I••• national BD
Jul 30, 2019 to Mar 10, 2022 · New York City, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jun 21, 2019 · Boston, Ma
S•••••••• A••••••• L•• national BD
Jan 27, 2014 to Jul 13, 2018 · Mt Kisco, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 20, 2012 to Nov 19, 2013 · Norwalk, Ct

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to E•••••• F•••••••• E••••••
left Mar 10, 2022, registered Mar 17, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Jun 21, 2019, registered Jul 30, 2019 (39 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left Nov 19, 2013, registered Jan 27, 2014 (69 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R••••• W•••••• B•••••• left C•••••• S••••• • C••• I••• for E•••••• F•••••••• E•••••• (registered 2022-03-17)
Mar 10, 2022 · 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address