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

T•••••• D••••• M••••

C••••• C•••••• W••••• M•••••••••independent RIAFlemington, Nj IA-onlyIAPD 6342275

Certified Financial Planner

Feed of 09/14/2026

Also filed as T•••••• M••••

At current firm

2 y

since Oct 31, 2023

In the industry

11 y

since Nov 24, 2014 (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

C••••• C•••••• W••••• M••••••••• independent RIA current
since Oct 31, 2023 · Flemington, Nj
C••••••• S••••••••• I••• BD affiliated
Aug 17, 2022 to Sep 15, 2023 · Trenton, Nj
C••••• I••••••••• A••••••• L•• BD affiliated
Apr 27, 2020 to Aug 17, 2022 · Yardsville, Nj
S••••••• F•••••••• S•••••••• I••• former
Mar 22, 2019 to Apr 23, 2020 · Martinsville, Nj
P••••••• W••••• M••••••••• G••••• L•• independent RIA
Feb 28, 2018 to Mar 12, 2019 · Flemington, Nj
W•••• F•••• A••••••• wirehouse
Dec 14, 2016 to Jan 25, 2018 · Princeton, Nj
P•• W••••• M••••••••• BD affiliated
Jul 31, 2015 to Oct 4, 2016 · Lawrenceville, Nj
E••••• J•••• national BD
Nov 24, 2014 to Jun 10, 2015 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to C••••• C•••••• W••••• M•••••••••
left Sep 15, 2023, registered Oct 31, 2023 (46 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Apr 23, 2020, registered Apr 27, 2020 (4 days) · Affiliated broker-dealer or bank to another
P••••••• W••••• M••••••••• G••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Mar 12, 2019, registered Mar 22, 2019 (10 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to P••••••• W••••• M••••••••• G••••• L••
left Jan 25, 2018, registered Feb 28, 2018 (34 days) · Other
P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Oct 4, 2016, registered Dec 14, 2016 (71 days) · Other
E••••• J•••• to P•• W••••• M•••••••••
left Jun 10, 2015, registered Jul 31, 2015 (51 days) · Other

Signals

T•••••• D••••• M•••• left C••••••• S••••••••• I••• for C••••• C•••••• W••••• M••••••••• (registered 2023-10-31)
Sep 15, 2023 · Advisor changed firm · fact
T•••••• D••••• M•••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)
Aug 17, 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address