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

D•••••• J•••• D••••••

U••• B•••••• A•••••••• L••BD affiliatedNew York, NyIA-onlyIAPD 2256199

Feed of 09/19/2026

At current firm

0 y

since Sep 18, 2026

In the industry

34 y

since Jul 21, 1992 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Sep 18, 2026 · New York, Ny
T••••• A••••••• S•••••••• I••• BD affiliated
Jul 29, 2022 to May 21, 2026 · New York, Ny
W•••• F•••• A••••••• wirehouse
Jul 20, 2011 to Jul 27, 2022 · Minneapolis, Mn
W•••• F•••• A••••••• wirehouse
Jan 10, 2008 to Jul 3, 2008 · New York, Ny
L••••• B••••••• I••• unclassified
Jul 10, 2006 to Dec 7, 2007 · New York, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 22, 2004 to Jul 18, 2006 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to U••• B•••••• A•••••••• L••
left May 21, 2026, registered Sep 18, 2026 (120 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••
left Jul 27, 2022, registered Jul 29, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
L••••• B••••••• I••• to W•••• F•••• A•••••••
left Dec 7, 2007, registered Jan 10, 2008 (34 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to L••••• B••••••• I•••
left Jul 18, 2006, registered Jul 10, 2006 (-8 days) · Other

Signals

D•••••• J•••• D•••••• registered as an investment adviser representative at U••• B•••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address