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

M••• X• C•••••••

T• P•••••• C••••• W••••• L••BD affiliatedRidgewood, Nj dual registrantIAPD 2488059

Feed of 09/14/2026

Also filed as M••• X• C•••••••

At current firm

1 y

since Nov 6, 2024

In the industry

32 y

since Jun 3, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T• P•••••• C••••• W••••• L•• BD affiliated current
since Nov 6, 2024 · Ridgewood, Nj
R•• C•••••• M••••••• L•• national BD
May 6, 2024 to Jun 13, 2024 · Paramus, Nj
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jan 10, 2024 · New York City, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 4, 2016 to Sep 7, 2023 · New York, Ny
T• A••••••••• I••• former
Aug 1, 2016 to Oct 14, 2022 · New York, Ny
B•••••••• F••• A••••••• asset manager
Dec 6, 2007 to Mar 25, 2011 · San Francisco, Ca
U•• F•••••••• S••••••• I••• wirehouse
May 23, 2002 to May 25, 2007 · Hackensack, Nj

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to T• P•••••• C••••• W••••• L••
left Jun 13, 2024, registered Nov 6, 2024 (146 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to R•• C•••••• M••••••• L••
left Jan 10, 2024, registered May 6, 2024 (117 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Aug 4, 2016 (-2262 days) · corporate re-registration, not a move
B•••••••• F••• A••••••• to T• A••••••••• I•••
left Mar 25, 2011, registered Aug 1, 2016 (1956 days) · Other
U•• F•••••••• S••••••• I••• to B•••••••• F••• A•••••••
left May 25, 2007, registered Dec 6, 2007 (195 days) · Other

Signals

M••• X• C••••••• left R•• C•••••• M••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2024-11-06)
Jun 13, 2024 · Advisor changed firm · fact
M••• X• C••••••• left C•••••• S••••• • C••• I••• for R•• C•••••• M••••••• L•• (registered 2024-05-06)
Jan 10, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address