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

N••••• C•••••• W•••••

M••••• W••••• M••••••••• L••independent RIANew Providence, NjIA-onlyIAPD 5327155

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••••• M C••••••

At current firm

3 y

since Jun 5, 2023

In the industry

17 y

since Mar 19, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••• W••••• M••••••••• L•• independent RIA current
since Jun 5, 2023 · New Providence, Nj
C••••••••• F•••••••• N•••••• national BD
Nov 16, 2020 to Jun 6, 2023 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Oct 29, 2013 to Nov 24, 2020 · Weehawken, Nj
M••••• W••••• M••••••••• L•• independent RIA
Jul 26, 2013 to Oct 25, 2013 · Westwood, Nj
M••••• S•••••• wirehouse
Sep 17, 2010 to Aug 1, 2012 · Warren, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to M••••• W••••• M••••••••• L••
left Jun 6, 2023, registered Jun 5, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••
left Nov 24, 2020, registered Nov 16, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
M••••• W••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••
left Oct 25, 2013, registered Oct 29, 2013 (4 days) · Other
M••••• S•••••• to M••••• W••••• M••••••••• L••
left Aug 1, 2012, registered Jul 26, 2013 (359 days) · Other

Signals

N••••• C•••••• W••••• left C••••••••• F•••••••• N•••••• for M••••• W••••• M••••••••• L•• (registered 2023-06-05)
Jun 6, 2023 · 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address