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

R••••• M••••

L•• F•••••••• L••BD affiliatedNew York, Nydual registrantIAPD 2342936

Feed of 09/14/2026

At current firm

1 y

since Sep 8, 2025

In the industry

33 y

since May 20, 1993 (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

L•• F•••••••• L•• BD affiliated current
since Sep 8, 2025 · New York, Ny
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 2, 2025 to Aug 20, 2025 · Smithtown, Ny
L•• E••••••••• L•• BD affiliated
Mar 11, 2025 to May 1, 2025 · Melville, Ny
C•••••• S••••• • C••• I••• national BD
May 23, 2008 to Apr 30, 2024 · New York City, Ny
C•••• I••••••••• S••••••• C•••• former
Jul 13, 2007 to May 5, 2008 · Greenvale, Ny
C••••••• I••••••••• S••••••• unclassified
Jul 12, 2006 to May 24, 2007 · Brooklyn, Ny
B•• M••••• S••••••••• C••••••••• other
Aug 22, 2002 to Apr 27, 2006 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••
left Aug 20, 2025, registered Sep 8, 2025 (19 days) · Affiliated broker-dealer or bank to another
L•• E••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 1, 2025, registered May 2, 2025 (1 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to L•• E••••••••• L••
left Apr 30, 2024, registered Mar 11, 2025 (315 days) · Affiliated broker-dealer or bank to a newly registered adviser
C•••• I••••••••• S••••••• C•••• to C•••••• S••••• • C••• I•••
left May 5, 2008, registered May 23, 2008 (18 days) · Other
C••••••• I••••••••• S••••••• to C•••• I••••••••• S••••••• C••••
left May 24, 2007, registered Jul 13, 2007 (50 days) · Other
B•• M••••• S••••••••• C••••••••• to C••••••• I••••••••• S•••••••
left Apr 27, 2006, registered Jul 12, 2006 (76 days) · Other

Signals

R••••• M•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2025-09-08)
Aug 20, 2025 · Advisor changed firm · fact
R••••• M•••• left L•• E••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-05-02)
May 1, 2025 · Advisor changed firm · fact
R••••• M•••• left C•••••• S••••• • C••• I••• for L•• E••••••••• L•• (registered 2025-03-11)
Apr 30, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address