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

J••••• M•••••• T•••••••••

L•• F•••••••• L••BD affiliatedNew Hartford, Nydual registrantIAPD 2682983

Feed of 09/14/2026

Also filed as Joe T•••••••••

At current firm

1 y

since Jan 26, 2025

In the industry

30 y

since Dec 20, 1995 (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

L•• F•••••••• L•• BD affiliated current
since Jan 26, 2025 · New Hartford, Ny
R•• C•••••• M••••••• L•• national BD
Apr 21, 2023 to Apr 10, 2024 · Watertown, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 2, 2015 to Apr 25, 2023 · Binghamton, Ny
L•• F•••••••• L•• BD affiliated
May 15, 2012 to Jul 7, 2015 · Ithaca, Ny
H••• S••••••••• •••• I••• BD affiliated
Jul 13, 2006 to May 15, 2012 · Binghamton, Ny

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to L•• F•••••••• L••
left Apr 10, 2024, registered Jan 26, 2025 (291 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Apr 25, 2023, registered Apr 21, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 7, 2015, registered Jul 2, 2015 (-5 days) · Other · moved with a team
H••• S••••••••• •••• I••• to L•• F•••••••• L••
left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move

Signals

J••••• M•••••• T••••••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2025-01-26)
Apr 10, 2024 · Advisor changed firm · fact
J••••• M•••••• T••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•• C•••••• M••••••• L•• (registered 2023-04-21)
Apr 25, 2023 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address