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•••••• S•••••

J••••• M••••••••• S•••• L••BD affiliatedNew York, Nydual registrantIAPD 4303779

Feed of 09/14/2026

Also filed as P•••••• J S•••••

At current firm

0 y

since Aug 17, 2026

In the industry

24 y

since Apr 5, 2002 (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••••• M••••••••• S•••• L•• BD affiliated current
since Aug 17, 2026 · New York, Ny
M••••• S•••••• wirehouse
Oct 23, 2023 to Feb 25, 2025 · New York, Ny
R••••••••• C•••••• M••••••••• BD affiliated
Mar 17, 2021 to Nov 7, 2023 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Sep 17, 2013 to Mar 23, 2021 · Warren, Nj
M••••• S•••••• wirehouse
Sep 28, 2012 to Sep 26, 2013 · Bedminster, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 24, 2008 to Nov 23, 2010 · Bridgewater, Nj
U•• F•••••••• S••••••• I••• wirehouse
Apr 5, 2002 to Apr 16, 2002 · Florham Park, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••••• M••••••••• S•••• L••
left Feb 25, 2025, registered Aug 17, 2026 (538 days) · Wirehouse to affiliated broker-dealer or bank
R••••••••• C•••••• M••••••••• to M••••• S••••••
left Nov 7, 2023, registered Oct 23, 2023 (-15 days) · Affiliated broker-dealer or bank to wirehouse
U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••
left Mar 23, 2021, registered Mar 17, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Sep 26, 2013, registered Sep 17, 2013 (-9 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Nov 23, 2010, registered Sep 28, 2012 (675 days) · Wirehouse to wirehouse
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 16, 2002, registered Dec 24, 2008 (2444 days) · Wirehouse to wirehouse

Signals

P•••••• S••••• left M••••• S•••••• for J••••• M••••••••• S•••• L•• (registered 2026-08-17)
Feb 25, 2025 · Advisor changed firm · fact
P•••••• S••••• left R••••••••• C•••••• M••••••••• for M••••• S•••••• (registered 2023-10-23)
Nov 7, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address