DFX Intelligence
RIA 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••••• P•••• P••••••••
Feed of 09/14/2026
At current firm
0 y
since Mar 2, 2026
In the industry
43 y
since Jan 17, 1983 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Mar 2, 2026 · Verona, Nj
- E•••••••• A•••••••• L•• national BDJan 28, 2020 to Feb 26, 2026 · Verona, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDMar 18, 2011 to Jan 30, 2020 · Florham Park, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 28, 2011 · Short Hills, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Short Hills, Nj
- M••••• S•••••• D• I••• unclassifiedOct 3, 2002 to Apr 2, 2007 · Short Hills, Nj
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to L•• E••••••••• L••left Feb 26, 2026, registered Mar 2, 2026 (4 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Jan 30, 2020, registered Jan 28, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Feb 28, 2011, registered Mar 18, 2011 (18 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- R••••• P•••• P•••••••• left E•••••••• A•••••••• L•• for L•• E••••••••• L•• (registered 2026-03-02)Feb 26, 2026 · 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address