DFX Intelligence
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Registered advisor
R••••• M•••••••
Feed of 09/14/2026
Also filed as R••••• M•••••• H••••••••• O••••••••• O••••••••• M•••••• O••••••••• M•••••• H••••••
At current firm
0 y
since Oct 23, 2025
In the industry
22 y
since Apr 19, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 23, 2025 · Paramus, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 13, 2016 to Oct 24, 2025 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 10, 2016 · Paramus, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Ridgewood, Nj
- M••••• S•••••• D• I••• unclassifiedJul 13, 2005 to Apr 2, 2007 · Ridgewood, Nj
- W•••• F•••• A••••••• wirehouseApr 20, 2004 to Jun 15, 2005 · Summit, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 24, 2025, registered Oct 23, 2025 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 10, 2016, registered May 13, 2016 (-28 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Jun 15, 2005, registered Jul 13, 2005 (28 days) · Other
Signals
- ••• LockedOct 24, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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