DFX Intelligence
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Feed of 09/14/2026
Also filed as A••• B•••• B••••••••• B• B••••
At current firm
6 y
since Apr 22, 2020
In the industry
13 y
since May 9, 2013 (earliest exam, job or registration)
Prior registered firms
4
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
- C••••••• institutional currentsince Apr 22, 2020 · Bethlehem, Pa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 24, 2018 to Apr 23, 2020 · Center Valley, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2015 to Jun 14, 2018 · Whitehall, Pa
- M••••• S•••••• wirehouseOct 25, 2013 to May 27, 2014 · Allentown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 10, 2013 to Oct 11, 2013 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to C•••••••left Apr 23, 2020, registered Apr 22, 2020 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 14, 2018, registered Jul 24, 2018 (40 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 27, 2014, registered Nov 13, 2015 (535 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 11, 2013, registered Oct 25, 2013 (14 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Institutional managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address