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

Y•••••• M••••••

J•••••••• I••••••••• A••••••• L••mixed wealthNew York, Ny dual registrantIAPD 3181133

Feed of 09/15/2026

Also filed as Y•••••• M••••••

At current firm

3 y

since May 24, 2023

In the industry

11 y

since Oct 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J•••••••• I••••••••• A••••••• L•• mixed wealth current
since May 24, 2023 · Miami, Fl
L••••••• A•••• M••••••••• L•• asset manager
May 1, 2023 to Aug 14, 2023 · Miami, Fl
M••••• S•••••• wirehouse
Feb 25, 2015 to Apr 19, 2023 · Miami, Fl
R•• C•••••• M••••••• L•• national BD
Oct 2, 2014 to Feb 3, 2015 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••
left Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
M••••• S•••••• to L••••••• A•••• M••••••••• L••
left Apr 19, 2023, registered May 1, 2023 (12 days) · Wirehouse to independent RIA · moved with a team
R•• C•••••• M••••••• L•• to M••••• S••••••
left Feb 3, 2015, registered Feb 25, 2015 (22 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

Y•••••• M•••••• left M••••• S•••••• for L••••••• A•••• M••••••••• L•• (registered 2023-05-01)
Apr 19, 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: Wealth manager with institutional or fund businessderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address