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

L••••• B••••••

R••••••••• C•••••• M•••••••••BD affiliatedFlorham Park, Nj dual registrantIAPD 5593734

Feed of 09/15/2026

At current firm

2 y

since Mar 5, 2024

In the industry

10 y

since Apr 4, 2016 (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

R••••••••• C•••••• M••••••••• BD affiliated current
since Aug 9, 2024 · Hamilton, Nj
R••••••••• C•••••• M••••••••• BD affiliated current
since Mar 5, 2024 · Hamilton, Nj
M••••• S•••••• wirehouse
Sep 27, 2023 to Mar 8, 2024 · Blue Bell, Pa
R••••••••• C•••••• M••••••••• BD affiliated
Jan 26, 2021 to Sep 28, 2023 · Hamilton Township, Nj
P•••• S••••••••• L•• no RAUM
Aug 25, 2017 to Jan 23, 2019 · Newark, Nj
T• A••••••••• I••• former
Aug 10, 2016 to Aug 7, 2017 · Jersey City, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 7, 2016 to Jul 11, 2016 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to R••••••••• C•••••• M•••••••••
left Mar 8, 2024, registered Mar 5, 2024 (-3 days) · Wirehouse to affiliated broker-dealer or bank
R••••••••• C•••••• M••••••••• to M••••• S••••••
left Sep 28, 2023, registered Sep 27, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse
P•••• S••••••••• L•• to R••••••••• C•••••• M•••••••••
left Jan 23, 2019, registered Jan 26, 2021 (734 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to P•••• S••••••••• L••
left Aug 7, 2017, registered Aug 25, 2017 (18 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••
left Jul 11, 2016, registered Aug 10, 2016 (30 days) · Other

Signals

L••••• B•••••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2024-03-05)
Mar 8, 2024 · Advisor changed firm · fact
L••••• B•••••• left R••••••••• C•••••• M••••••••• for M••••• S•••••• (registered 2023-09-27)
Sep 28, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address