DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• A• B••••••
Feed of 09/15/2026
Also filed as R••••• A• B••••••••• B••••••
At current firm
4 y
since May 15, 2022
In the industry
14 y
since Jul 1, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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•••••••• G••••• M•••••• I••• BD affiliated currentsince May 15, 2022 · New York, Ny
- P•••• S••••••••• L•• no RAUMJun 15, 2020 to Apr 13, 2021 · Basking Ridge, Nj
- M••••• S•••••• wirehouseOct 1, 2018 to Sep 30, 2019 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 13, 2021, registered May 15, 2022 (397 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•••• S••••••••• L••left Sep 30, 2019, registered Jun 15, 2020 (259 days) · Wirehouse to affiliated broker-dealer or bank
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address