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
At current firm
2 y
since Aug 19, 2024
In the industry
27 y
since Mar 1, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Aug 19, 2024 · Palm Beach, Fl
- J.P. Morgan Securities LLC wirehouseJul 14, 2010 to Aug 21, 2024 · Boca Raton, Fl
- LPL Financial LLC BD affiliatedJan 14, 2010 to Jun 22, 2010 · Fort Mill, Sc
- Fortigent, LLC formerApr 3, 2008 to Jan 8, 2010 · Boca Raton, Fl
- Suntrust Investment Services, Inc. formerFeb 13, 2006 to Sep 6, 2007 · Fort Lauderdale, Fl
- Wells Fargo Advisors wirehouseOct 1, 2000 to Jun 4, 2004 · Hollywood, Fl
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Morgan Stanleyleft Aug 21, 2024, registered Aug 19, 2024 (-2 days) · Wirehouse to wirehouse · moved with a team
- LPL Financial LLC to J.P. Morgan Securities LLCleft Jun 22, 2010, registered Jul 14, 2010 (22 days) · Other
- Fortigent, LLC to LPL Financial LLCleft Jan 8, 2010, registered Jan 14, 2010 (6 days) · Other
- Suntrust Investment Services, Inc. to Fortigent, LLCleft Sep 6, 2007, registered Apr 3, 2008 (210 days) · Other
- Wells Fargo Advisors to Suntrust Investment Services, Inc.left Jun 4, 2004, registered Feb 13, 2006 (619 days) · Other
Signals
- Todd Adelstein left J.P. Morgan Securities Llc for Morgan Stanley (registered 2024-08-19)Aug 21, 2024 · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address