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

T•••••• J••• D••••

A••••••••• F•••••••• S•••••••• L••national BDWilliamstown, Nj dual registrantIAPD 6989568

Feed of 09/15/2026

Also filed as T•••••• J••• D••••

At current firm

2 y

since Oct 10, 2023

In the industry

19 y

since Dec 1, 2006 (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 Oct 10, 2023 · Linwood, Nj
T• P•••••• C••••• W••••• L•• BD affiliated
Dec 6, 2022 to Oct 19, 2023 · Marlton, Nj
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Dec 13, 2022 · Maumee, Oh
C••• B•••••••• S•••••••• I••• former
Oct 31, 2019 to May 18, 2022 · Waverly, Ia
E••••• J•••• national BD
Oct 9, 2018 to Apr 17, 2019 · Sicklerville, Nj

Moves

a registration end followed by a registration begin elsewhere

T• P•••••• C••••• W••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Oct 19, 2023, registered Oct 10, 2023 (-9 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to T• P•••••• C••••• W••••• L••
left Dec 13, 2022, registered Dec 6, 2022 (-7 days) · RIA to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
E••••• J•••• to C••• B•••••••• S•••••••• I•••
left Apr 17, 2019, registered Oct 31, 2019 (197 days) · Affiliated broker-dealer or bank to another

Signals

T•••••• J••• D•••• left T• P•••••• C••••• W••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-10-10)
Oct 19, 2023 · Advisor changed firm · fact
T•••••• J••• D•••• left L•• F•••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2022-12-06)
Dec 13, 2022 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address