DFX Intelligence
RIA Intelligence
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Registered advisor
L••• R•••••• H••••
Feed of 09/14/2026
At current firm
7 y
since Sep 18, 2019
In the industry
34 y
since Jan 2, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J•••••• M••••••• W••••• M••••••••• L•• independent RIA currentsince Sep 18, 2019 · Florham Park, Nj
- G•• G•••• otherSep 2, 2010 to Sep 12, 2019 · Livingston, Nj
- R•• C•••••• M••••••• L•• national BDNov 15, 2002 to Nov 18, 2003 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- G•• G•••• to J•••••• M••••••• W••••• M••••••••• L••left Sep 12, 2019, registered Sep 18, 2019 (6 days) · Other
- R•• C•••••• M••••••• L•• to G•• G••••left Nov 18, 2003, registered Sep 2, 2010 (2480 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address