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•••• R••• G••••••••

J••••• M••••••••• S•••• L••BD affiliatedGarden City, Nydual registrantIAPD 3021779

Feed of 09/14/2026

Also filed as S•••• G••••••••

At current firm

10 y

since Sep 19, 2016

In the industry

28 y

since May 22, 1998 (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•• BD affiliated current
since Sep 19, 2016 · Garden City, Ny
M••••• S•••••• wirehouse
Jun 28, 2010 to Mar 30, 2016 · Melville, Ny
W•••• F•••• A••••••• wirehouse
Apr 20, 2006 to May 6, 2010 · New York, Ny
C••••••• I••••••••• S••••••• unclassified
Mar 9, 2005 to Sep 22, 2005 · Glen Cove, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Jan 10, 2005 · Melville, Ny
Q•••• • R•••••• I••• unclassified
Jul 29, 2004 to Oct 20, 2004 · Islandia, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••••• M••••••••• S•••• L••
left Mar 30, 2016, registered Sep 19, 2016 (173 days) · Other
W•••• F•••• A••••••• to M••••• S••••••
left May 6, 2010, registered Jun 28, 2010 (53 days) · Wirehouse to wirehouse
C••••••• I••••••••• S••••••• to W•••• F•••• A•••••••
left Sep 22, 2005, registered Apr 20, 2006 (210 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••
left Jan 10, 2005, registered Mar 9, 2005 (58 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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: 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