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

A••••• N•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehousePennington, Nj dual registrantIAPD 4885319

Feed of 09/14/2026

At current firm

1 y

since Apr 1, 2025

In the industry

15 y

since Jul 5, 2011 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Apr 1, 2025 · New York, Ny
P•••• S••••••••• L•• no RAUM
Feb 22, 2024 to Jul 23, 2024 · Brooklyn, Ny
M••••• S•••••• wirehouse
Aug 6, 2015 to Nov 17, 2022 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jan 4, 2012 to Aug 20, 2014 · Weehawken, Nj

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 23, 2024, registered Apr 1, 2025 (252 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to P•••• S••••••••• L••
left Nov 17, 2022, registered Feb 22, 2024 (462 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Aug 20, 2014, registered Aug 6, 2015 (351 days) · Wirehouse to wirehouse

Signals

A••••• N••••• left P•••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-04-01)
Jul 23, 2024 · Advisor changed firm · fact
A••••• N••••• left M••••• S•••••• for P•••• S••••••••• L•• (registered 2024-02-22)
Nov 17, 2022 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address