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

P••••• J••• F••••

V••••••••• A••••••• S•••••••BD affiliatedWoodbury, Ny dual registrantIAPD 2333381

Feed of 09/15/2026

Also filed as P••••• J••• Hardy

At current firm

1 y

since Jan 2, 2025

In the industry

27 y

since Feb 8, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••••• A••••••• S••••••• BD affiliated current
since Jan 2, 2025 · Twisp, Wa
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Dec 26, 2024 · Twisp, Wa
S••••••••• A•••••• A•••••••• I••• former
Nov 6, 2020 to Jun 14, 2024 · Twisp, Wa
K•• F•••••••• S•••••••• I•• former
Jul 29, 2005 to Nov 6, 2020 · Twisp, Wa
C••••• A••••••• L•• former
Apr 6, 2001 to Aug 11, 2005 · Twisp, Wa

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to V••••••••• A••••••• S•••••••
left Dec 26, 2024, registered Jan 2, 2025 (7 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
C••••• A••••••• L•• to K•• F•••••••• S•••••••• I••
left Aug 11, 2005, registered Jul 29, 2005 (-13 days) · Other

Signals

P••••• J••• F•••• left O•••• W•••••• I••• for V••••••••• A••••••• S••••••• (registered 2025-01-02)
Dec 26, 2024 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address