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

T••••• S••••••••

J••• M••••• S••••••••• L••wirehouseHauppauge, Nydual registrantIAPD 2870822

Feed of 09/14/2026

Also filed as T••••• Scott S••••••••

At current firm

2 y

since Oct 4, 2023

In the industry

29 y

since Apr 16, 1997 (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

J••• M••••• S••••••••• L•• wirehouse current
since Oct 4, 2023 · Hauppauge, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 11, 2021 to May 2, 2023 · Scarsdale, Ny
T• P•••••• C••••• W••••• L•• BD affiliated
Jul 22, 2021 to Oct 26, 2021 · Melville, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 19, 2012 to Dec 31, 2020 · Port Washington, Ny
T• A••••••••• I••• former
Jun 18, 2004 to Jan 11, 2021 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
left May 2, 2023, registered Oct 4, 2023 (155 days) · Affiliated broker-dealer or bank to wirehouse
T• P•••••• C••••• W••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 26, 2021, registered Nov 11, 2021 (16 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 11, 2021, registered Dec 19, 2012 (-2945 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• P•••••• C••••• W••••• L••
left Dec 31, 2020, registered Jul 22, 2021 (203 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

T••••• S•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-10-04)
May 2, 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address