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.

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Registered advisor

J•••••• D••••

T• P•••••• C••••• W••••• L••BD affiliatedMelville, Ny dual registrantIAPD 2713199

Feed of 09/14/2026

Also filed as J•••••• Matthew D••••

At current firm

1 y

since Oct 17, 2024

In the industry

29 y

since Nov 25, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

T• P•••••• C••••• W••••• L•• BD affiliated current
since Oct 17, 2024 · Melville, Ny
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Jun 13, 2024 · Farmingdale, Ny
C••••• A•••••• N••••••• L•• former
May 26, 2022 to Jun 29, 2023 · Farmingdale, Ny
C••• B•••••••• S•••••••• I••• former
Jan 5, 2017 to Oct 17, 2018 · Wantagh, Ny
C•••••• O•• A•••••••• L•• former
Jan 28, 2015 to Dec 21, 2015 · Seattle, Wa
C•••••• O•• F•••••••• A••••••• L•• unclassified
Feb 14, 2013 to Jan 28, 2015 · Melville, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 1, 2010 to Sep 20, 2012 · Garden City, Ny
C•••• I••••••••• S••••••• C•••• former
Feb 22, 2007 to Oct 4, 2010 · Flushing, Ny
C••••••• I••••••••• S••••••• unclassified
Jul 15, 2005 to Sep 22, 2005 · Floral Park, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to T• P•••••• C••••• W••••• L••
left Jun 13, 2024, registered Oct 17, 2024 (126 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
C••• B•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••
left Oct 17, 2018, registered May 26, 2022 (1317 days) · RIA to affiliated broker-dealer or bank
C•••••• O•• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Dec 21, 2015, registered Jan 5, 2017 (381 days) · Other
C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••
left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• F•••••••• A••••••• L••
left Sep 20, 2012, registered Feb 14, 2013 (147 days) · Other
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 4, 2010, registered Oct 1, 2010 (-3 days) · Other
C••••••• I••••••••• S••••••• to C•••• I••••••••• S••••••• C••••
left Sep 22, 2005, registered Feb 22, 2007 (518 days) · Other

Signals

J•••••• D•••• left C••••• I••••••••• A••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2024-10-17)
Jun 13, 2024 · a•••••• firm change · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address