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

S•••••• J•••• T••••••

A••• A••••••• P•••••••BD affiliatedNew York, Ny dual registrantIAPD 1725246

Feed of 09/14/2026

Also filed as S•••••• J•••• T••••••

At current firm

0 y

since Jul 17, 2026

In the industry

35 y

since Oct 31, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••• A••••••• P••••••• BD affiliated current
since Jul 17, 2026 · New York, Ny
U••• C•••••• W••••• A•••••••• L•• BD affiliated
May 12, 2022 to Jul 21, 2026 · Houston, Tx
U•• F•••••••• S••••••• I••• wirehouse
Jan 22, 2009 to Jun 6, 2022 · Houston, Tx
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jan 26, 2009 · Houston, Tx
M••••• S•••••• D• I••• unclassified
Dec 17, 1990 to Apr 2, 2007 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

U••• C•••••• W••••• A•••••••• L•• to A••• A••••••• P•••••••
left Jul 21, 2026, registered Jul 17, 2026 (-4 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to U••• C•••••• W••••• A•••••••• L••
left Jun 6, 2022, registered May 12, 2022 (-25 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••
left Jan 26, 2009, registered Jan 22, 2009 (-4 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

S•••••• J•••• T•••••• left U•• F•••••••• S••••••• I••• for U••• C•••••• W••••• A•••••••• L•• (registered 2022-05-12)
Jun 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address