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

S•••••• M•••••• R•••••••• F•••••

L•• F•••••••• L••BD affiliatedNiagara Falls, Nydual registrantIAPD 2950191
Feed of 09/14/2026
Also filed as S•••••• M•••••• Raglowdef•••••
At current firm
2 y
since Sep 3, 2024
In the industry
28 y
since Nov 25, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • S•••••• M•••••• R•••••••• F••••• left I••••••••• A••••• I••••••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2024-09-03)
    Sep 4, 2024 · Advisor changed firm · fact
  • S•••••• M•••••• R•••••••• F••••• left A••••••••• F•••••••• S•••••••• L•• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2022-10-17)
    Oct 19, 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
28derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address