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.

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Registered advisor

G••• J• S•••

L•• F•••••••• L••BD affiliatedBohemia, Nydual registrantIAPD 4255578

Feed of 09/14/2026

Also filed as G••• J. S•••

At current firm

0 y

since Apr 20, 2026

In the industry

25 y

since Oct 19, 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

L•• F•••••••• L•• BD affiliated current
since Apr 20, 2026 · Bohemia, Ny
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Apr 27, 2026 · Scottsdale, Az
A••••••• P••••••••• A•••••••• I•• former
Oct 12, 2010 to Oct 11, 2024 · Holbrook, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Nov 20, 2007 to Oct 5, 2010 · Melville, Ny
U•• I••••••••• I••• unclassified
Apr 11, 2007 to Sep 20, 2007 · New York, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Feb 6, 2007 to Mar 27, 2007 · Melville, Ny
C••••••• I••••••••• S••••••• unclassified
Nov 12, 2004 to Jan 25, 2007 · North Babylon, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Apr 27, 2026, registered Apr 20, 2026 (-7 days) · Affiliated broker-dealer or bank to another
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
A••••• A•• P••••••• S••••••• to A••••••• P••••••••• A•••••••• I••
left Oct 5, 2010, registered Oct 12, 2010 (7 days) · Other
U•• I••••••••• I••• to A••••• A•• P••••••• S•••••••
left Sep 20, 2007, registered Nov 20, 2007 (61 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to U•• I••••••••• I•••
left Mar 27, 2007, registered Apr 11, 2007 (15 days) · Other
C••••••• I••••••••• S••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jan 25, 2007, registered Feb 6, 2007 (12 days) · Other

Signals

G••• J• S••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2026-04-20)
Apr 27, 2026 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address