DFX Intelligence
RIA Intelligence
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Feed of 09/15/2026
Also filed as Y• O••
At current firm
3 y
since Oct 31, 2022
In the industry
16 y
since Oct 29, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 31, 2022 · Princeton Junction, Nj
- O•••••• P••••••••• L•• formerJan 20, 2010 to Nov 11, 2022 · Princeton, Nj
Moves
a registration end followed by a registration begin elsewhere
- O•••••• P••••••••• L•• to H•••••••• A•••••••• L••left Nov 11, 2022, registered Oct 31, 2022 (-11 days) · RIA to affiliated broker-dealer or bank
Signals
- Y• O•• left O•••••• P••••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)Nov 11, 2022 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address