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

M•••••• C•••••••••

W•••• F•••• A•••••••wirehouseShort Hills, Nj dual registrantIAPD 5506868

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• C•••••••••

At current firm

3 y

since Jul 31, 2023

In the industry

18 y

since Apr 19, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jul 31, 2023 · Tenafly, Nj
J••• M••••• S••••••••• L•• wirehouse
Jan 25, 2016 to Aug 8, 2023 · Edgewater, Nj
W•••• F•••• A••••••• wirehouse
Apr 8, 2014 to Jan 22, 2016 · Summit, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 3, 2011 to Apr 9, 2014 · Great Neck, Ny
E•••• • Y•••• I••••••••• A••••••• L•• no RAUM
Apr 21, 2008 to Nov 4, 2010 · Secaucus, Nj

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Aug 8, 2023, registered Jul 31, 2023 (-8 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Jan 22, 2016, registered Jan 25, 2016 (3 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Apr 9, 2014, registered Apr 8, 2014 (-1 days) · Wirehouse to wirehouse
E•••• • Y•••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 4, 2010, registered May 3, 2011 (180 days) · Other

Signals

M•••••• C••••••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2023-07-31)
Aug 8, 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: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address