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

F•••• A•••• M••••

S•••••••• S•••••••••BD affiliatedDenville, Nj dual registrantIAPD 4614750

Feed of 09/15/2026

Also filed as F•••• A•••• M••••

At current firm

12 y

since Dec 4, 2013

In the industry

23 y

since Jan 2, 2003 (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

S•••••••• S••••••••• BD affiliated current
since Dec 4, 2013 · Denville, Nj
P•••••••• A••••••• national BD
Nov 26, 2012 to Aug 1, 2013 · Edison, Nj
W•••• F•••• A••••••• wirehouse
Nov 2, 2005 to Dec 21, 2010 · Bound Brook, Nj
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Mar 8, 2005 · Colonia , Nj
Q•••• • R•••••• I••• unclassified
Jun 26, 2004 to Oct 20, 2004 · Spotswood, Nj

Moves

a registration end followed by a registration begin elsewhere

P•••••••• A••••••• to S•••••••• S•••••••••
left Aug 1, 2013, registered Dec 4, 2013 (125 days) · Other
W•••• F•••• A••••••• to P•••••••• A•••••••
left Dec 21, 2010, registered Nov 26, 2012 (706 days) · Wirehouse to affiliated broker-dealer or bank
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Mar 8, 2005, registered Nov 2, 2005 (239 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address