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

A••• N••••••• S••••

L•• F•••••••• L••BD affiliatedValley Stream, Nydual registrantIAPD 3100084

Feed of 09/14/2026

Also filed as A••• N S••••

At current firm

1 y

since Aug 12, 2025

In the industry

27 y

since Jun 22, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Aug 12, 2025 · Valley Stream, Ny
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Apr 5, 2025 · Lake Grove, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 14, 2007 to Sep 7, 2023 · Smithtown, Ny
T• A••••••••• I••• former
Mar 14, 2007 to Oct 14, 2022 · Lake Grove, Ny
B•• M••••• S••••••••• C••••••••• other
Nov 18, 2003 to Oct 23, 2006 · Uniondale, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Apr 5, 2025, registered Aug 12, 2025 (129 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Mar 14, 2007 (-5693 days) · corporate re-registration, not a move
B•• M••••• S••••••••• C••••••••• to T• A••••••••• I•••
left Oct 23, 2006, registered Mar 14, 2007 (142 days) · Other

Signals

A••• N••••••• S•••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2025-08-12)
Apr 5, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address