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

P•••• H• O••

J• W• C••• A•••••••• I•••BD affiliatedPittsford, Ny dual registrantIAPD 4194866

Feed of 09/15/2026

At current firm

3 y

since Feb 10, 2023

In the industry

21 y

since Jun 7, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J• W• C••• A•••••••• I••• BD affiliated current
since Feb 10, 2023 · Pittsford, Ny
H•••••• T••••••• • K•••• L•• independent RIA
Jan 24, 2012 to Feb 13, 2023 · Uniondale, Ny
S••••••• I••••••••• I••• former
Oct 10, 2005 to May 31, 2011 · Westbury, Ny
F•••••••• C••••••• U••••••••• I••• independent RIA
Jun 8, 2005 to Aug 31, 2005 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

H•••••• T••••••• • K•••• L•• to J• W• C••• A•••••••• I•••
left Feb 13, 2023, registered Feb 10, 2023 (-3 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• I••• to H•••••• T••••••• • K•••• L••
left May 31, 2011, registered Jan 24, 2012 (238 days) · Other
F•••••••• C••••••• U••••••••• I••• to S••••••• I••••••••• I•••
left Aug 31, 2005, registered Oct 10, 2005 (40 days) · Other

Signals

P•••• H• O•• left H•••••• T••••••• • K•••• L•• for J• W• C••• A•••••••• I••• (registered 2023-02-10)
Feb 13, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address