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•••• A••••• G••••

J••• M••••• S••••••••• L••wirehouseNew York, Ny dual registrantIAPD 4040791

Feed of 09/14/2026

Also filed as R•••• A••••• G••••

At current firm

2 y

since Jul 24, 2024

In the industry

26 y

since May 23, 2000 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jul 24, 2024 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 5, 2022 to May 14, 2024 · New York, Ny
M••••• S•••••• wirehouse
Nov 25, 2021 to Oct 19, 2022 · Utica, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 8, 2020 to Oct 25, 2021 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left May 14, 2024, registered Jul 24, 2024 (71 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M••••• S•••••• to C•••••••• G••••• M•••••• I•••
left Oct 19, 2022, registered Oct 5, 2022 (-14 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Oct 25, 2021, registered Nov 25, 2021 (31 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

R•••• A••••• G•••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-07-24)
May 14, 2024 · Advisor changed firm · fact
R•••• A••••• G•••• left M••••• S•••••• for C•••••••• G••••• M•••••• I••• (registered 2022-10-05)
Oct 19, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address