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

W•••••• C•••••• S••••••

U•• F•••••••• S••••••• I•••wirehouseMassapequa Park, Ny dual registrantIAPD 2785118

Certified Financial Planner

Feed of 09/15/2026

Also filed as W•••••• C•••••• S••••••

At current firm

5 y

since Aug 6, 2021

In the industry

29 y

since Sep 27, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Aug 6, 2021 · Paramus, Nj
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2008 to Aug 3, 2021 · New York, Ny
J••• M••••• S••••••••• I••• unclassified
Sep 6, 2007 to Oct 1, 2008 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Oct 11, 2005 to Jun 20, 2006 · New York, Ny
E•••• • Y•••• I••••••••• A••••••• L•• no RAUM
Mar 31, 1998 to Apr 14, 2005 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••
left Aug 3, 2021, registered Aug 6, 2021 (3 days) · Wirehouse to wirehouse
J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••
left Jun 20, 2006, registered Sep 6, 2007 (443 days) · Other
E•••• • Y•••• I••••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••
left Apr 14, 2005, registered Oct 11, 2005 (180 days) · Other

Signals

No dated event on this person.

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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address