DFX Intelligence
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Registered advisor
R••• W•••••• P•••••
Feed of 09/14/2026
At current firm
5 y
since Sep 29, 2020
In the industry
16 y
since Aug 6, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Sep 29, 2020 · Mendham, Nj
- O•••• W•••••• I••• BD affiliatedSep 28, 2018 to Oct 2, 2020 · Morristown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 19, 2013 to Oct 1, 2018 · Bedminster, Nj
- M••••• S•••••• wirehouseMay 17, 2011 to May 2, 2013 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 2, 2020, registered Sep 29, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• W•••••• I•••left Oct 1, 2018, registered Sep 28, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 2, 2013, registered Apr 19, 2013 (-13 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address