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

W•••••• C••••• B••••••

C••••• P••••••• L••independent RIANew York, Ny IA-onlyIAPD 4004028

Certified Financial Planner

Feed of 09/14/2026

Also filed as Bill C••••• B••••••

At current firm

2 y

since Nov 9, 2023

In the industry

26 y

since Dec 8, 1999 (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

C••••• P••••••• L•• independent RIA current
since Nov 9, 2023 · New York, Ny
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Nov 2, 2023 to Nov 16, 2023 · New York, Ny
U••••• C•••••• F•••••••• A••••••• independent RIA
Jul 13, 2021 to Nov 2, 2023 · New York, Ny
E•••• V•••• W••••••• A••••••• former
Jul 9, 2018 to Jul 1, 2021 · Boston, Ma
E•••••• F•••••••• S•••••••• L•• former
Aug 16, 2016 to Jun 6, 2018 · Boca Raton, Fl
C•••••• S••••• • C••• I••• national BD
Nov 14, 2005 to Aug 12, 2016 · New York City, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 17, 2005 to Nov 16, 2005 · Ft. Lauderdale, Fl
A• G• E•••••• • S•••• I••• unclassified
Jul 22, 2003 to May 26, 2005 · Fort Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

G•••••• S•••• W••••• S•••••••• L••• to C••••• P••••••• L••
left Nov 16, 2023, registered Nov 9, 2023 (-7 days) · Affiliated broker-dealer or bank to independent RIA
U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••
left Nov 2, 2023, registered Nov 2, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
E•••• V•••• W••••••• A••••••• to U••••• C•••••• F•••••••• A•••••••
left Jul 1, 2021, registered Jul 13, 2021 (12 days) · RIA to affiliated broker-dealer or bank
E•••••• F•••••••• S•••••••• L•• to E•••• V•••• W••••••• A•••••••
left Jun 6, 2018, registered Jul 9, 2018 (33 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to E•••••• F•••••••• S•••••••• L••
left Aug 12, 2016, registered Aug 16, 2016 (4 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Nov 16, 2005, registered Nov 14, 2005 (-2 days) · Other
A• G• E•••••• • S•••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left May 26, 2005, registered May 17, 2005 (-9 days) · Other

Signals

W•••••• C••••• B•••••• left G•••••• S•••• W••••• S•••••••• L••• for C••••• P••••••• L•• (registered 2023-11-09)
Nov 16, 2023 · Advisor changed firm · fact
W•••••• C••••• B•••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-11-02)
Nov 2, 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address