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.

Registered advisor

Justin Carfora

LPL Financial LLCBD affiliatedPoquonock, Ct dual registrantIAPD 5376437

Feed of 09/15/2026

Also filed as Justin Phillip Carfora

At current firm

2 y

since Apr 2, 2024

In the industry

19 y

since Sep 18, 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

LPL Financial LLC BD affiliated current
since Apr 2, 2024 · Guilford, Ct
First Trust Advisors LP asset manager
Apr 2, 2019 to Oct 28, 2022 · Stamford, Ct
Clinton Investment Management, LLC independent RIA
Nov 25, 2015 to Jul 17, 2017 · Stamford, Ct
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 2, 2010 to Dec 22, 2010 · New York, Ny
Morgan Stanley wirehouse
Jun 1, 2009 to Jun 17, 2010 · New Haven, Ct
Citigroup Global Markets Inc. BD affiliated
Sep 24, 2007 to Jun 1, 2009 · New Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

First Trust Advisors LP to LPL Financial LLC
left Oct 28, 2022, registered Apr 2, 2024 (522 days) · Other
Clinton Investment Management, LLC to First Trust Advisors LP
left Jul 17, 2017, registered Apr 2, 2019 (624 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Clinton Investment Management, LLC
left Dec 22, 2010, registered Nov 25, 2015 (1799 days) · Other
Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jun 17, 2010, registered Jun 2, 2010 (-15 days) · Wirehouse to wirehouse
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

Justin Carfora left First Trust Advisors Lp for Lpl Financial Llc (registered 2024-04-02)
Oct 28, 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: 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