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

T•••• N•••

E••••• J••••national BDSarasota, Fldual registrantIAPD 4855165

Feed of 09/14/2026

At current firm

0 y

since Jul 22, 2026

In the industry

19 y

since Jun 1, 2007 (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

E••••• J•••• national BD current
since Jul 22, 2026 · Sarasota, Fl
U•• F•••••••• S••••••• I••• wirehouse
Apr 16, 2020 to Jul 9, 2026 · Paramus, Nj
O••••••••• • C•• I••• BD affiliated
Dec 12, 2018 to Apr 17, 2020 · Saddle Brook, Nj
C••• L•• BD affiliated
Nov 9, 2018 to Dec 6, 2018 · Franklin Lakes, Nj
W•••• F•••• A••••••• wirehouse
Apr 17, 2017 to Jun 5, 2018 · Short Hills, Nj
M••••• S•••••• wirehouse
Aug 2, 2013 to Apr 17, 2017 · Little Falls, Nj

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to E••••• J••••
left Jul 9, 2026, registered Jul 22, 2026 (13 days) · Wirehouse to affiliated broker-dealer or bank
O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••
left Apr 17, 2020, registered Apr 16, 2020 (-1 days) · Affiliated broker-dealer or bank to wirehouse
C••• L•• to O••••••••• • C•• I•••
left Dec 6, 2018, registered Dec 12, 2018 (6 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to C••• L••
left Jun 5, 2018, registered Nov 9, 2018 (157 days) · Wirehouse to independent RIA
M••••• S•••••• to W•••• F•••• A•••••••
left Apr 17, 2017, registered Apr 17, 2017 (0 days) · Wirehouse to wirehouse

Signals

T•••• N••• left U•• F•••••••• S••••••• I••• for E••••• J•••• (registered 2026-07-22)
Jul 9, 2026 · 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: National broker-dealer RIAderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address