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

A••• E••••• C•••••

L•• F•••••••• L••BD affiliatedFranklin Lakes, Njdual registrantIAPD 6815242

Certified Financial Planner

Feed of 09/14/2026

Also filed as A••• C•••••

At current firm

1 y

since Nov 12, 2024

In the industry

10 y

since May 1, 2016 (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

L•• F•••••••• L•• BD affiliated current
since Nov 12, 2024 · Franklin Lakes, Nj
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Nov 13, 2024 · Franklin Lakes, Nj
S••••••••• A•••••• A•••••••• I••• former
Apr 18, 2023 to Jun 14, 2024 · Franklin Lakes, Nj
S•••••••• W••••• M••••••••• independent RIA
Sep 9, 2022 to Apr 6, 2023 · Red Bank, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 15, 2018 to Aug 6, 2021 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Nov 13, 2024, registered Nov 12, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
S•••••••• W••••• M••••••••• to S••••••••• A•••••• A•••••••• I•••
left Apr 6, 2023, registered Apr 18, 2023 (12 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• W••••• M•••••••••
left Aug 6, 2021, registered Sep 9, 2022 (399 days) · Wirehouse to independent RIA

Signals

A••• E••••• C••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-11-12)
Nov 13, 2024 · Advisor changed firm · fact
A••• E••••• C••••• left S•••••••• W••••• M••••••••• for S••••••••• A•••••• A•••••••• I••• (registered 2023-04-18)
Apr 6, 2023 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address