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

B•••••• L••••• R•••

C••••••• S••••••••• I•••BD affiliatedWest Trenton, Nj dual registrantIAPD 6526156

Feed of 09/15/2026

Also filed as B•••••• R•••

At current firm

1 y

since Apr 1, 2025

In the industry

11 y

since Jul 1, 2015 (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••••••• S••••••••• I••• BD affiliated current
since Apr 1, 2025 · Princeton, Nj
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 21, 2022 to Sep 7, 2023 · Yardley, Pa
C•••••• S••••• • C••• I••• national BD
Jun 21, 2022 to Apr 10, 2025 · Yardley, Pa
T• A••••••••• I••• former
Jun 21, 2022 to Oct 14, 2022 · Marlton, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 22, 2020 to Apr 30, 2022 · Princeton, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to C••••••• S••••••••• I•••
left Apr 10, 2025, registered Apr 1, 2025 (-9 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jun 21, 2022 (-443 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jun 21, 2022 (-115 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••
left Apr 30, 2022, registered Jun 21, 2022 (52 days) · Other

Signals

B•••••• L••••• R••• left C•••••• S••••• • C••• I••• for C••••••• S••••••••• I••• (registered 2025-04-01)
Apr 10, 2025 · Advisor changed firm · fact
B•••••• L••••• R••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T• A••••••••• I••• (registered 2022-06-21)
Apr 30, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address