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

S••••• C••••• C••••••••

A•••• C•••••• C••••BD affiliatedNew York, Ny IA-onlyIAPD 4335740

Feed of 09/15/2026

Also filed as S••••• C••••••••

At current firm

2 y

since Sep 9, 2024

In the industry

25 y

since Mar 19, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••• C•••••• C•••• BD affiliated current
since Sep 9, 2024 · Pomona, Ny
O•••• W•••••• I••• BD affiliated
Oct 6, 2023 to Jul 29, 2024 · Livingston, Nj
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 6, 2021 to Oct 10, 2023 · Paramus, Nj
O•••• W•••••• I••• BD affiliated
May 15, 2019 to Oct 8, 2021 · Nyack, Ny
S••••••• I••••••••• I••• former
Oct 17, 2014 to Jan 25, 2018 · Livingston, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2011 to Jan 7, 2013 · White Plains, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to A•••• C•••••• C••••
left Jul 29, 2024, registered Sep 9, 2024 (42 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to O•••• W•••••• I•••
left Oct 10, 2023, registered Oct 6, 2023 (-4 days) · Affiliated broker-dealer or bank to another
O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 8, 2021, registered Oct 6, 2021 (-2 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Jan 25, 2018, registered May 15, 2019 (475 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• I•••
left Jan 7, 2013, registered Oct 17, 2014 (648 days) · Other

Signals

S••••• C••••• C•••••••• left O•••• W•••••• I••• for A•••• C•••••• C•••• (registered 2024-09-09)
Jul 29, 2024 · Advisor changed firm · fact
S••••• C••••• C•••••••• left A••••••••• F•••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2023-10-06)
Oct 10, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address