DFX Intelligence
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N••••••• T••••• P••••••
As of · the IAPD feed; also filed as N••• T•• R•••••••• P••••••
- At current firm
- 1 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 14, 2024
As of · the IAPD feed; also filed as N••• T•• R•••••••• P••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Who else to callHow these are chosenRegistered people linked to this advisor by a filed or published fact: a team, a move made together, the same street office, a shared outside business or principal, or the same earlier independent RIA. Links that rest on evidence DFX has not validated, such as a shared practice name, are left out. A link says who knows whom, not who plans to move.
1 related advisor
Names and links are part of the paid record. By relation: teammate who left 1.
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Merrick, Ny
- P•••• S••••••••• L•• no RAUMJun 7, 2021 to Nov 14, 2024 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote