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••••• S•••••••

K••••• A••••••• S•••••••• L••BD affiliatedEssex, Ct dual registrantIAPD 2346044

Feed of 09/15/2026

Also filed as P••• S•••••••

At current firm

0 y

since Feb 23, 2026

In the industry

32 y

since Sep 21, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Feb 23, 2026 · Austin, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 31, 2014 to Feb 23, 2026 · Tolland, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 14, 2009 to Feb 4, 2014 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Nov 14, 2008 to Aug 26, 2009 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 12, 1998 to Nov 18, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Feb 23, 2026, registered Feb 23, 2026 (0 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 4, 2014, registered Jan 31, 2014 (-4 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 26, 2009, registered Aug 14, 2009 (-12 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Nov 18, 2008, registered Nov 14, 2008 (-4 days) · Wirehouse to wirehouse

Signals

P••• J••••• S••••••• left A••••••••• F•••••••• S•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2026-02-23)
Feb 23, 2026 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address