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

E••• S••••••

I••••••• A••••••• S•••••••• L••mixed wealthWhite Plains, Ny dual registrantIAPD 4087108

Feed of 09/15/2026

At current firm

3 y

since Aug 22, 2023

In the industry

26 y

since Jan 10, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••• A••••••• S•••••••• L•• mixed wealth current
since Aug 22, 2023 · Miami, Fl
O••••••••• • C•• I••• BD affiliated
Nov 15, 2022 to Aug 25, 2023 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Oct 26, 2021 to Nov 25, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

O••••••••• • C•• I••• to I••••••• A••••••• S•••••••• L••
left Aug 25, 2023, registered Aug 22, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••
left Nov 25, 2022, registered Nov 15, 2022 (-10 days) · Wirehouse to affiliated broker-dealer or bank

Signals

Eric Serfaty left Oppenheimer & Co. Inc. for Insigneo Advisory Services, Llc (registered 2023-08-22)
Aug 25, 2023 · Advisor changed firm · fact
Eric Serfaty left Ubs Financial Services Inc. for Oppenheimer & Co. Inc. (registered 2022-11-15)
Nov 25, 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: Wealth manager with institutional or fund businessderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address