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.
Feed of 09/14/2026
Also filed as Stefanie R Andors
At current firm
7 y
since Mar 4, 2019
In the industry
28 y
since Apr 8, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Mar 4, 2019 · Jericho, Ny
- UBS Financial Services Inc. wirehouseAug 25, 2017 to Feb 28, 2019 · New York, Ny
- Hightower Advisors, LLC BD affiliatedMar 25, 2013 to Aug 18, 2017 · Melville, Ny
- Consolidated Portfolio Review Corp independent RIASep 29, 2006 to Sep 7, 2007 · Woodbury, Ny
Moves
a registration end followed by a registration begin elsewhere
- UBS Financial Services Inc. to Morgan Stanleyleft Feb 28, 2019, registered Mar 4, 2019 (4 days) · Wirehouse to wirehouse
- Hightower Advisors, LLC to UBS Financial Services Inc.left Aug 18, 2017, registered Aug 25, 2017 (7 days) · Other
- Consolidated Portfolio Review Corp to Hightower Advisors, LLCleft Sep 7, 2007, registered Mar 25, 2013 (2026 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address