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••••• E•••••• R•••••

F••••• C•••••• A•••••••• L••independent RIAPrairie Village, Ks dual registrantIAPD 4258690

Feed of 09/14/2026

Also filed as E••••• E•••••• R•••••

At current firm

2 y

since Aug 2, 2024

In the industry

25 y

since Feb 21, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••• C•••••• A•••••••• L•• independent RIA current
since Aug 2, 2024 · Prairie Village, Ks
M•• I•••••••• S•••••••• L•• BD affiliated
Jun 17, 2019 to Jul 19, 2024 · New York, Ny
E•••• S••••••••• L•• BD affiliated
May 4, 2017 to May 24, 2019 · New York, Ny
E•••••••• A•••••••• L•• national BD
May 20, 2015 to Jan 18, 2017 · Edison, Nj
S•••••••• S••••••••• BD affiliated
Nov 20, 2012 to Apr 1, 2015 · Short Hills, Nj
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 16, 2012 · Brooklyn, Ny
C•••• I••••••••• S••••••• C•••• former
Jun 3, 2009 to Oct 1, 2012 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to F••••• C•••••• A•••••••• L••
left Jul 19, 2024, registered Aug 2, 2024 (14 days) · Affiliated broker-dealer or bank to independent RIA
E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
left May 24, 2019, registered Jun 17, 2019 (24 days) · Affiliated broker-dealer or bank to another · moved with a team
E•••••••• A•••••••• L•• to E•••• S••••••••• L••
left Jan 18, 2017, registered May 4, 2017 (106 days) · Other
S•••••••• S••••••••• to E•••••••• A•••••••• L••
left Apr 1, 2015, registered May 20, 2015 (49 days) · Other
J••• M••••• S••••••••• L•• to S•••••••• S•••••••••
left Nov 16, 2012, registered Nov 20, 2012 (4 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

E••••• E•••••• R••••• left M•• I•••••••• S•••••••• L•• for F••••• C•••••• A•••••••• L•• (registered 2024-08-02)
Jul 19, 2024 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address