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•••• P•••• M••••••

L•• F•••••••• L••BD affiliatedRochester, Nydual registrantIAPD 3064822

Feed of 09/14/2026

At current firm

0 y

since Dec 5, 2025

In the industry

36 y

since Feb 1, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Dec 5, 2025 · Rochester, Ny
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Dec 9, 2025 · Rochester, Ny
S••••••••• A•••••• A•••••••• I••• former
Dec 4, 2017 to Jun 14, 2024 · Rochester, Ny
I••••• F•••••••• C••••••••• former
Jun 24, 2011 to Dec 4, 2017 · Rochester, Ny
E••••••• F•••••••• S•••••••• I••• unclassified
Dec 7, 2010 to Jun 23, 2011 · Pittsford, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Dec 9, 2025, registered Dec 5, 2025 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
I••••• F•••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••
left Dec 4, 2017, registered Dec 4, 2017 (0 days) · Other · moved with a team
E••••••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••
left Jun 23, 2011, registered Jun 24, 2011 (1 days) · Other

Signals

J•••• P•••• M•••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-12-05)
Dec 9, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address