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

E••• A••••• S•••

C•••••••• G••••• M•••••• I•••BD affiliatedArmonk, Ny dual registrantIAPD 1972666

Feed of 09/15/2026

Also filed as E••• A••••• S•••

At current firm

3 y

since Aug 3, 2023

In the industry

36 y

since Oct 30, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• G••••• M•••••• I••• BD affiliated current
since Aug 3, 2023 · New York, Ny
F••••••• S••••••••• I••• independent RIA
Dec 14, 2015 to Aug 4, 2023 · New York, Ny
F•• S••••••••• C••••••••• former
Jan 8, 2015 to Dec 11, 2015 · Bedford Corners, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 14, 2014 · Bronxville, Ny
C•••• I••••••••• S••••••• C•••• former
Sep 23, 2011 to Oct 1, 2012 · Bronxville, Ny
W•••• F•••• A••••••• wirehouse
Oct 1, 2009 to Sep 2, 2011 · White Plains, Ny
W•••• F•••• I••••••••• L•• unclassified
Aug 19, 2008 to Oct 2, 2009 · New York, Ny
J••• M••••• S••••••••• I••• unclassified
Oct 30, 2006 to Aug 20, 2008 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Jul 27, 2006 to Nov 28, 2006 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

F••••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Aug 4, 2023, registered Aug 3, 2023 (-1 days) · RIA to affiliated broker-dealer or bank
F•• S••••••••• C••••••••• to F••••••• S••••••••• I•••
left Dec 11, 2015, registered Dec 14, 2015 (3 days) · Other
J••• M••••• S••••••••• L•• to F•• S••••••••• C•••••••••
left Nov 14, 2014, registered Jan 8, 2015 (55 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Sep 2, 2011, registered Sep 23, 2011 (21 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Oct 2, 2009, registered Oct 1, 2009 (-1 days) · Other
J••• M••••• S••••••••• I••• to W•••• F•••• I••••••••• L••
left Aug 20, 2008, registered Aug 19, 2008 (-1 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••
left Nov 28, 2006, registered Oct 30, 2006 (-29 days) · Other

Signals

E••• A••••• S••• left F••••••• S••••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2023-08-03)
Aug 4, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address