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•••• E••••• Y••••••••

S••••••• W••••• M••••••••• L••independent RIAPurchase, Ny IA-onlyIAPD 2849196

Feed of 09/15/2026

At current firm

0 y

since Jun 24, 2026

In the industry

21 y

since Mar 11, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

S••••••• W••••• M••••••••• L•• independent RIA current
since Jun 24, 2026 · Purchase, Ny
I••• H••• A••••••• L•• independent RIA
Apr 20, 2025 to May 18, 2026 · Greenville, Sc
S••••••••• W••••• M••••••••• L•••• C•• unclassified
Nov 23, 2010 to Nov 20, 2025 · Greenville, Sc
I••••• F•••••••• C••••••••• former
Oct 19, 2009 to Oct 13, 2010 · Windcrest, Tx
M••••• S•••••• wirehouse
Jun 1, 2009 to Nov 16, 2009 · Greenville, Sc
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 6, 2007 to Jun 1, 2009 · Greenville, Sc
E••••• J•••• national BD
Feb 15, 2007 to Nov 6, 2007 · Greenville, Sc

Moves

a registration end followed by a registration begin elsewhere

I••• H••• A••••••• L•• to S••••••• W••••• M••••••••• L••
left May 18, 2026, registered Jun 24, 2026 (37 days) · RIA to RIA
S••••••••• W••••• M••••••••• L•••• C•• to I••• H••• A••••••• L••
left Nov 20, 2025, registered Apr 20, 2025 (-214 days) · Other
I••••• F•••••••• C••••••••• to S••••••••• W••••• M••••••••• L•••• C••
left Oct 13, 2010, registered Nov 23, 2010 (41 days) · Other
M••••• S•••••• to I••••• F•••••••• C•••••••••
left Nov 16, 2009, registered Oct 19, 2009 (-28 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
E••••• J•••• to C•••••••• G••••• M•••••• I•••
left Nov 6, 2007, registered Nov 6, 2007 (0 days) · Other

Signals

J•••• E••••• Y•••••••• left I••• H••• A••••••• L•• for S••••••• W••••• M••••••••• L•• (registered 2026-06-24)
May 18, 2026 · Advisor changed firm · fact
J•••• E••••• Y•••••••• left S••••••••• W••••• M••••••••• L•••• C•• for I••• H••• A••••••• L•• (registered 2025-04-20)
Nov 20, 2025 · 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address