DFX Intelligence
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Feed of 09/14/2026
At current firm
1 y
since Jan 24, 2025
In the industry
22 y
since May 27, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Iselin, Nj
- O•••• F•• I••• formerAug 23, 2011 to Jan 24, 2025 · New York, Ny
- H•••••• T••••••• • K•••• L•• independent RIAOct 16, 2009 to Aug 29, 2011 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseNov 21, 2006 to Oct 6, 2009 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2005 to Oct 24, 2006 · Edison, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 23, 2004 to Dec 15, 2004 · Edison, Nj
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to O•••• F•• I•••left Aug 29, 2011, registered Aug 23, 2011 (-6 days) · Other
- U•• F•••••••• S••••••• I••• to H•••••• T••••••• • K•••• L••left Oct 6, 2009, registered Oct 16, 2009 (10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 24, 2006, registered Nov 21, 2006 (28 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address