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

R••••• R••••• S••••

C•••••• S••••• • C••• I•••national BDLone Tree, Co dual registrantIAPD 4008810

Feed of 09/15/2026

Also filed as R••••• R S••••

At current firm

4 y

since Jan 26, 2022

In the industry

26 y

since Dec 15, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 26, 2022 · Lone Tree, Co
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 13, 2014 to Sep 7, 2023 · Jersey City, Nj
T• A••••••••• I••• former
Jun 13, 2014 to Oct 14, 2022 · Jersey City, Nj
E•••• S••••••••• L•• BD affiliated
Oct 7, 2010 to Aug 1, 2012 · New Y•••, Ny
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Oct 2, 2006 to Oct 7, 2010 · New Y•••, Ny
B•• M••••• S••••••••• C••••••••• other
May 10, 2004 to Aug 24, 2006 · New Y•••, Ny

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jun 13, 2014 (-3045 days) · corporate re-registration, not a move
E•••• S••••••••• L•• to T• A••••••••• I•••
left Aug 1, 2012, registered Jun 13, 2014 (681 days) · Other
N•• Y••• L••• I••••••••• M••••••••• L•• to E•••• S••••••••• L••
left Oct 7, 2010, registered Oct 7, 2010 (0 days) · Other
B•• M••••• S••••••••• C••••••••• to N•• Y••• L••• I••••••••• M••••••••• L••
left Aug 24, 2006, registered Oct 2, 2006 (39 days) · Other

Signals

No dated event on this person.

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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address