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

S•••• L••• L••••

O•••• W•••••• I•••BD affiliatedWebster, Ny dual registrantIAPD 4035628

Feed of 09/14/2026

Also filed as S•••• Coene

At current firm

3 y

since Sep 1, 2023

In the industry

26 y

since Dec 14, 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

O•••• W•••••• I••• BD affiliated current
since Sep 1, 2023 · Webster, Ny
S•••••••• F••••••••• I••• former
Oct 15, 2021 to Sep 1, 2023 · Williamsville, Ny
L•• F•••••••• L•• BD affiliated
Jul 5, 2018 to Oct 6, 2020 · Rochester, Ny
S•••••• W••••• P•••••••• L•• BD affiliated
Jun 27, 2018 to Oct 15, 2021 · Rochester, Ny
T•• P•••••• F•••••••• G••••• L•• independent RIA
Feb 5, 2018 to Jun 29, 2018 · Rochester, Ny
O•••• F•• I••• former
Feb 24, 2005 to Dec 31, 2005 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••
left Oct 15, 2021, registered Jul 5, 2018 (-1198 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to S•••••••• F••••••••• I•••
left Oct 6, 2020, registered Oct 15, 2021 (374 days) · Affiliated broker-dealer or bank to another
T•• P•••••• F•••••••• G••••• L•• to S•••••• W••••• P•••••••• L••
left Jun 29, 2018, registered Jun 27, 2018 (-2 days) · RIA to RIA
O•••• F•• I••• to T•• P•••••• F•••••••• G••••• L••
left Dec 31, 2005, registered Feb 5, 2018 (4419 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address