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.

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Registered advisor

M•••••• P••••

M••••• S••••••wirehouseNew York, Ny dual registrantIAPD 3189227

Feed of 09/14/2026

At current firm

3 y

since Nov 11, 2022

In the industry

19 y

since Oct 17, 2006 (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

M••••• S•••••• wirehouse current
since Nov 11, 2022 · New York, Ny
C••••••• S••••••••• I••• BD affiliated
Mar 7, 2022 to Nov 2, 2022 · Westwood, Ma
H••• S••••••••• •••• I••• BD affiliated
Mar 28, 2014 to Feb 18, 2022 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 30, 2013 to Mar 4, 2014 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to M••••• S••••••
left Nov 2, 2022, registered Nov 11, 2022 (9 days) · Affiliated broker-dealer or bank to wirehouse
H••• S••••••••• •••• I••• to C••••••• S••••••••• I•••
left Feb 18, 2022, registered Mar 7, 2022 (17 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
left Mar 4, 2014, registered Mar 28, 2014 (24 days) · Other

Signals

M•••••• P•••• left C••••••• S••••••••• I••• for M••••• S•••••• (registered 2022-11-11)
Nov 2, 2022 · Advisor changed firm · fact
M•••••• P•••• left H••• S••••••••• •••• I••• for C••••••• S••••••••• I••• (registered 2022-03-07)
Feb 18, 2022 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address