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•••• S•••• A•••••

K••••• A••••••• S•••••••• L••BD affiliatedOssining, Ny dual registrantIAPD 2793107

Feed of 09/15/2026

Also filed as J•••• S A•••••

At current firm

1 y

since Dec 5, 2024

In the industry

21 y

since Jun 24, 2005 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Dec 5, 2024 · Bronx, Ny
F•••••• independent RIA
Nov 18, 2022 to Dec 17, 2024 · Bronx, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 28, 2019 to Nov 22, 2022 · New Y•••, Ny
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Jun 14, 2006 to Mar 4, 2011 · New Y•••, Ny
C•••• I••••••••• S••••••• C•••• former
Jun 24, 2005 to Jun 2, 2006 · New Y•••, Ny

Moves

a registration end followed by a registration begin elsewhere

F•••••• to K••••• A••••••• S•••••••• L••
left Dec 17, 2024, registered Dec 5, 2024 (-12 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••
left Nov 22, 2022, registered Nov 18, 2022 (-4 days) · Wirehouse to independent RIA
N•• Y••• L••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 4, 2011, registered May 28, 2019 (3007 days) · Other
C•••• I••••••••• S••••••• C•••• to N•• Y••• L••• I••••••••• M••••••••• L••
left Jun 2, 2006, registered Jun 14, 2006 (12 days) · Other

Signals

J•••• S•••• A••••• left F•••••• for K••••• A••••••• S•••••••• L•• (registered 2024-12-05)
Dec 17, 2024 · Advisor changed firm · fact
J•••• S•••• A••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F•••••• (registered 2022-11-18)
Nov 22, 2022 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address