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

M•••••• F••••

P•••••• W••••• A•••••••• L••independent RIAPennington, NjIA-onlyIAPD 6836930

Feed of 09/14/2026

At current firm

0 y

since Jan 26, 2026

In the industry

13 y

since Aug 1, 2013 (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

P•••••• W••••• A•••••••• L•• independent RIA current
since Jan 26, 2026 · Pennington, Nj
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Dec 10, 2025 · Milford, Nj
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 17, 2021 to Mar 31, 2025 · Merrimack, Nh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 16, 2017 to Nov 5, 2021 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to P•••••• W••••• A•••••••• L••
left Dec 10, 2025, registered Jan 26, 2026 (47 days) · Affiliated broker-dealer or bank to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Nov 5, 2021, registered Dec 17, 2021 (42 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

M•••••• F•••• left S•••••••• A••••••• L•• for P•••••• W••••• A•••••••• L•• (registered 2026-01-26)
Dec 10, 2025 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address