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

C•••••• J••••• P•••••••

A••••• F•••••••• P•••••••• I•••independent RIAMelville, Ny dual registrantIAPD 4151032

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

1 y

since Dec 26, 2024

In the industry

26 y

since Apr 14, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• F•••••••• P•••••••• I••• independent RIA current
since Dec 26, 2024 · Downers Grove, Il
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Jan 7, 2025 · Scottsdale, Az
A••••••• P••••••••• A•••••••• I•• former
Aug 17, 2016 to Oct 11, 2024 · Holbrook, Ny
L••••• A•••••••• L•• former
Oct 23, 2014 to Aug 17, 2016 · Astoria, Ny
B• R•••• W••••• A•••••••• I••• BD affiliated
May 2, 2014 to Oct 14, 2014 · Astoria, Ny
A•••• • F•••••••• P•••••••• L•• former
Mar 1, 2011 to May 6, 2014 · Astoria, Ny
A•••• • F•••••••• P•••••••• L•• former
Oct 21, 2010 to Nov 5, 2010 · Massapequa Park, Ny
C•••• I••••••••• S••••••• C•••• former
Jul 17, 2009 to Oct 12, 2010 · Forest Hills, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to A••••• F•••••••• P•••••••• I•••
left Jan 7, 2025, registered Dec 26, 2024 (-12 days) · Affiliated broker-dealer or bank to independent RIA
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
L••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Aug 17, 2016, registered Aug 17, 2016 (0 days) · Other
B• R•••• W••••• A•••••••• I••• to L••••• A•••••••• L••
left Oct 14, 2014, registered Oct 23, 2014 (9 days) · Other
A•••• • F•••••••• P•••••••• L•• to B• R•••• W••••• A•••••••• I•••
left May 6, 2014, registered May 2, 2014 (-4 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to A•••• • F•••••••• P•••••••• L••
left Oct 12, 2010, registered Oct 21, 2010 (9 days) · Other

Signals

C•••••• J••••• P••••••• left O•••• W•••••• I••• for A••••• F•••••••• P•••••••• I••• (registered 2024-12-26)
Jan 7, 2025 · 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