DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D•••• L••• D••••
Feed of 09/16/2026
Also filed as D•••• L••• O••••••
At current firm
7 y
since Apr 22, 2019
In the industry
19 y
since Dec 1, 2006 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 22, 2019 · Sparta, Nj
- G••••• F•••••••• P•••••• C••••••• I••• formerJan 17, 2017 to Apr 24, 2019 · Parsippany, Nj
Moves
a registration end followed by a registration begin elsewhere
- G••••• F•••••••• P•••••• C••••••• I••• to J• W• C••• A•••••••• I•••left Apr 24, 2019, registered Apr 22, 2019 (-2 days) · corporate re-registration, not a move
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