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••••• A•••••• B•••••

U•••••••• V•••• A•••••••asset managerNew York, Ny IA-onlyIAPD 3120814

Feed of 09/15/2026

At current firm

9 y

since Jan 20, 2017

In the industry

27 y

since Oct 29, 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

S•••• independent RIA current
since Jan 8, 2025 · New York, Ny
U•••••••• V•••• A••••••• asset manager current
since Jan 20, 2017 · Reno, Nv
F•••••• independent RIA
Jun 22, 2023 to Dec 17, 2024 · Reno, Nv
F••••••• W••••• A•••••••• L•• independent RIA
Feb 20, 2019 to Jul 11, 2023 · Reno, Nv
F••••••••• F•••••••• M••••••••• G••••• L•• former
Oct 17, 2016 to Mar 1, 2019 · Reno, Nv
C•••••• W••••• M••••••••• former
Aug 6, 2014 to Dec 31, 2016 · Reno, Nv
U•••••••• V•••• A••••••• former
Feb 10, 2006 to Dec 31, 2014 · Reno, Nv
A••••• C•••••• M••••••••• L•• unclassified
Nov 6, 2002 to May 30, 2007 · Reno, Nv

Moves

a registration end followed by a registration begin elsewhere

F•••••• to S••••
left Dec 17, 2024, registered Jan 8, 2025 (22 days) · RIA to RIA
F••••••• W••••• A•••••••• L•• to F••••••
left Jul 11, 2023, registered Jun 22, 2023 (-19 days) · RIA to RIA · moved with a team
F••••••••• F•••••••• M••••••••• G••••• L•• to U•••••••• V•••• A•••••••
left Mar 1, 2019, registered Jan 20, 2017 (-770 days) · Other
C•••••• W••••• M••••••••• to F••••••••• F•••••••• M••••••••• G••••• L••
left Dec 31, 2016, registered Oct 17, 2016 (-75 days) · Other · moved with a team
U•••••••• V•••• A••••••• to C•••••• W••••• M•••••••••
left Dec 31, 2014, registered Aug 6, 2014 (-147 days) · Other
A••••• C•••••• M••••••••• L•• to U•••••••• V•••• A•••••••
left May 30, 2007, registered Feb 10, 2006 (-474 days) · Other

Signals

J••••• A•••••• B••••• left Farther for Savvy (registered 2025-01-08)
Dec 17, 2024 · Advisor changed firm · fact
J••••• A•••••• B••••• left F••••••• W••••• A•••••••• L•• for Farther (registered 2023-06-22)
Jul 11, 2023 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address