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.

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Registered advisor

D••••• A• D••••••

M••••• S••••••wirehouseMarlton, Njdual registrantIAPD 4711132

Feed of 09/14/2026

Also filed as D••••• Ann Pierson

At current firm

1 y

since Jul 28, 2025

In the industry

22 y

since Jan 27, 2004 (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

M••••• S•••••• wirehouse current
since Jul 28, 2025 · Marlton, Nj
R•••••• J•••• • A••••••••• I••• national BD
Feb 2, 2017 to Jul 15, 2025 · Mount Laurel, Nj
M••••• S•••••• wirehouse
Jun 1, 2009 to Jan 31, 2017 · Mount Laurel, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 15, 2007 to Jun 1, 2009 · Mt. Laurel, Nj
U•• F•••••••• S••••••• I••• wirehouse
Sep 14, 2006 to Nov 21, 2007 · Mt. Laurel, Nj
U•• F•••••••• S••••••• I••• wirehouse
Jan 29, 2004 to Nov 26, 2004 · Marlton, Nj

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to M••••• S••••••
left Jul 15, 2025, registered Jul 28, 2025 (13 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Jan 31, 2017, registered Feb 2, 2017 (2 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••
left Nov 21, 2007, registered Nov 15, 2007 (-6 days) · Other

Signals

D••••• A• D•••••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2025-07-28)
Jul 15, 2025 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address