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

C••••••••• A•••••• C••••••

M••••••BD affiliatedRochester, Ny IA-onlyIAPD 2446728

Feed of 09/14/2026

At current firm

1 y

since Sep 8, 2025

In the industry

32 y

since Aug 10, 1994 (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

M•••••• BD affiliated current
since Sep 8, 2025 · Massapequa, Ny
F•••• C•••••• L•• former
May 21, 2021 to Oct 1, 2025 · Rochester, Ny
S••••• F•••••••• M••••••••• L•• independent RIA
May 10, 2013 to May 4, 2016 · Massapequa, Ny
H••• S••••••••• •••• I••• BD affiliated
Nov 23, 2012 to Apr 25, 2013 · Garden City, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 14, 2009 to Feb 23, 2012 · Melville, Ny
T• A••••••••• I••• former
Feb 13, 2006 to Feb 23, 2012 · Huntington Station, Ny

Moves

a registration end followed by a registration begin elsewhere

F•••• C•••••• L•• to M••••••
left Oct 1, 2025, registered Sep 8, 2025 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••• F•••••••• M••••••••• L•• to F•••• C•••••• L••
left May 4, 2016, registered May 21, 2021 (1843 days) · Other
H••• S••••••••• •••• I••• to S••••• F•••••••• M••••••••• L••
left Apr 25, 2013, registered May 10, 2013 (15 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to H••• S••••••••• •••• I•••
left Feb 23, 2012, registered Nov 23, 2012 (274 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 23, 2012, registered Jul 14, 2009 (-954 days) · channel change inside one enterprise, not a move

Signals

C••••••••• A•••••• C•••••• left F•••• C•••••• L•• for Mariner (registered 2025-09-08)
Oct 1, 2025 · 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