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

R••• D• S••••

A••••••••• F•••••••• S•••••••• L••national BDSaddle Brook, Nj dual registrantIAPD 6856145

Feed of 09/15/2026

Also filed as R••• S••••

At current firm

1 y

since Feb 11, 2025

In the industry

12 y

since May 1, 2014 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Feb 11, 2025 · Rutherford, Nj
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Aug 23, 2024 to Nov 25, 2024 · New York, Ny
I•••••• A•••••••• I••• asset manager
Jun 27, 2023 to May 22, 2024 · Atlanta, Ga
P•••• S••••••••• L•• no RAUM
Feb 19, 2019 to Jun 8, 2023 · North Bethesda, Md

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 25, 2024, registered Feb 11, 2025 (78 days) · Other
I•••••• A•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left May 22, 2024, registered Aug 23, 2024 (93 days) · Other
P•••• S••••••••• L•• to I•••••• A•••••••• I•••
left Jun 8, 2023, registered Jun 27, 2023 (19 days) · Other

Signals

R••• D• S•••• left N••••••••• M••••• I••••••••• S••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-11)
Nov 25, 2024 · Advisor changed firm · fact
R••• D• S•••• left I•••••• A•••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-08-23)
May 22, 2024 · Advisor changed firm · fact
R••• D• S•••• left P•••• S••••••••• L•• for I•••••• A•••••••• I••• (registered 2023-06-27)
Jun 8, 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address