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

D•••• A• S•••

C••••• I••••••••• A••••••• L••BD affiliatedManasquan, Njdual registrantIAPD 5337265

Feed of 09/14/2026

Also filed as D•••• S•••

At current firm

3 y

since Aug 10, 2023

In the industry

19 y

since Jul 26, 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 10, 2023 · Manasquan, Nj
S••••••• F•••••••• S•••••••• I••• former
Sep 4, 2020 to Aug 10, 2023 · Manasquan, Nj
E••••• J•••• national BD
Jun 7, 2016 to Sep 7, 2020 · Princeton, Nj
M•• F•••••••• S•••••••• I••• former
Jan 2, 2015 to Jun 1, 2016 · Wall Township, Nj
N•• E•••••• S••••••••• C••••••••• former
Aug 20, 2008 to Jan 2, 2015 · Wall Township, Nj
U•• F•••••••• S••••••• I••• wirehouse
Jul 27, 2007 to Aug 8, 2008 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
E••••• J•••• to S••••••• F•••••••• S•••••••• I•••
left Sep 7, 2020, registered Sep 4, 2020 (-3 days) · Affiliated broker-dealer or bank to another
M•• F•••••••• S•••••••• I••• to E••••• J••••
left Jun 1, 2016, registered Jun 7, 2016 (6 days) · Other
N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to N•• E•••••• S••••••••• C•••••••••
left Aug 8, 2008, registered Aug 20, 2008 (12 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: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address