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

J••• E••• D••••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Ny dual registrantIAPD 4163311

Feed of 09/15/2026

At current firm

3 y

since Nov 11, 2022

In the industry

26 y

since Aug 25, 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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Nov 11, 2022 · Melville, Ny
O••••••••• • C•• I••• BD affiliated
Jun 13, 2018 to Oct 18, 2022 · New York, Ny
C•••••• O•• A•••••••• L•• former
Aug 1, 2016 to May 3, 2018 · Mclean, Va
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 27, 2014 · Newport Beach, Ca
M••••• S•••••• • C•• L•• unclassified
Jul 9, 2008 to Jun 1, 2009 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

O••••••••• • C•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 18, 2022, registered Nov 11, 2022 (24 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• O•• A•••••••• L•• to O••••••••• • C•• I•••
left May 3, 2018, registered Jun 13, 2018 (41 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C•••••• O•• A•••••••• L••
left Oct 27, 2014, registered Aug 1, 2016 (644 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

J••• E••• D•••••••• left O••••••••• • C•• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-11)
Oct 18, 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