DFX Intelligence
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Registered advisor
O••••• C• E•••••
Feed of 09/14/2026
Also filed as O••••• E••••••••• C•••••• E••••••••• C• E•••••
At current firm
4 y
since Jun 1, 2022
In the industry
14 y
since Mar 23, 2012 (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
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
- B•••••••• I••••••••• M••••••••• L•• asset manager currentsince Jun 1, 2022 · Princeton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 19, 2014 to Mar 2, 2021 · Pennington, Nj
- P•• W••••• M••••••••• BD affiliatedJan 14, 2013 to May 9, 2014 · Chalfont, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 26, 2012 to Oct 25, 2012 · Wayne, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••••••• I••••••••• M••••••••• L••left Mar 2, 2021, registered Jun 1, 2022 (456 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 9, 2014, registered Aug 19, 2014 (102 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Oct 25, 2012, registered Jan 14, 2013 (81 days) · Other
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address