DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
4 y
since Oct 26, 2021
In the industry
35 y
since Jul 17, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••• • A••••••••• L•• independent RIA currentsince Oct 26, 2021 · Warren, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Feb 2, 2015 · Raleigh, Nc
- V••• F•••••••• P•••••••• L•• formerApr 23, 2003 to Jan 3, 2011 · Woodbridge, Nj
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to S•••• • A••••••••• L••left Feb 2, 2015, registered Oct 26, 2021 (2458 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address