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.
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Registered advisor
E••••• T••••• M••••
Feed of 09/15/2026
Also filed as E••••• T••••• M••••
At current firm
2 y
since Oct 24, 2023
In the industry
18 y
since Sep 28, 2007 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- F••••••• W••••• A•••••••• L•• independent RIA currentsince Oct 24, 2023 · Sparta, Nj
- F••••• C•••••• A•••••••• L•• independent RIAApr 4, 2023 to Sep 27, 2023 · Sparta Township, Nj
- L•• F•••••••• L•• BD affiliatedSep 9, 2021 to Mar 22, 2023 · East Brunswick, Nj
- P•••••••• S••••••••• I••• BD affiliatedFeb 22, 2019 to Sep 21, 2021 · Parsippany, Nj
- R••••• G•••• • A••••••••• L•• state registeredFeb 15, 2018 to Feb 18, 2019 · Naples, Fl
- G••••• F•••••••• P•••••• C••••••• I••• formerMar 23, 2017 to Jan 4, 2018 · Parsippany, Nj
- M•• F•••••••• S•••••••• I••• formerDec 10, 2014 to Mar 16, 2017 · Fairfield, Nj
- P••• A••••• S••••••••• L•• BD affiliatedAug 8, 2013 to Dec 22, 2014 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 12, 2010 to Jul 17, 2013 · Florham P•••, Nj
- E•••••••• A•••••••• L•• national BDFeb 6, 2008 to Mar 10, 2009 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 1, 2007 to Oct 12, 2007 · Florham P•••, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••• C•••••• A•••••••• L•• to F••••••• W••••• A•••••••• L••left Sep 27, 2023, registered Oct 24, 2023 (27 days) · RIA to RIA
- L•• F•••••••• L•• to F••••• C•••••• A•••••••• L••left Mar 22, 2023, registered Apr 4, 2023 (13 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Sep 21, 2021, registered Sep 9, 2021 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- R••••• G•••• • A••••••••• L•• to P•••••••• S••••••••• I•••left Feb 18, 2019, registered Feb 22, 2019 (4 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to R••••• G•••• • A••••••••• L••left Jan 4, 2018, registered Feb 15, 2018 (42 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to G••••• F•••••••• P•••••• C••••••• I•••left Mar 16, 2017, registered Mar 23, 2017 (7 days) · Other
- P••• A••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 22, 2014, registered Dec 10, 2014 (-12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• A••••• S••••••••• L••left Jul 17, 2013, registered Aug 8, 2013 (22 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 10, 2009, registered Oct 12, 2010 (581 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Oct 12, 2007, registered Feb 6, 2008 (117 days) · Affiliated broker-dealer or bank to another
Signals
- E••••• T••••• M•••• left F••••• C•••••• A•••••••• L•• for F••••••• W••••• A•••••••• L•• (registered 2023-10-24)Sep 27, 2023 · Advisor changed firm · fact
- E••••• T••••• M•••• left L•• F•••••••• L•• for F••••• C•••••• A•••••••• L•• (registered 2023-04-04)Mar 22, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address