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••••• R••••• S••••

N•• Y••• L••• I••••••••• M••••••••• L••asset managerBloomfield Hills, Mi dual registrantIAPD 4369173

Feed of 09/15/2026

Also filed as S••••• R. S••••

At current firm

1 y

since Aug 13, 2025

In the industry

25 y

since Mar 27, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

N•• Y••• L••• I••••••••• M••••••••• L•• asset manager current
since Aug 13, 2025 · Bloomfield Hills, Mi
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Aug 6, 2025 · Farmington, Mi
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 17, 2025 to Mar 31, 2025 · Bloomfield Hills, Mi
P•••• S••••••••• L•• no RAUM
Mar 10, 2022 to Apr 12, 2024 · Troy, Mi
L•• F•••••••• L•• BD affiliated
Nov 1, 2021 to Apr 1, 2022 · Bloomfield Hills, Mi
I••• S••••••••• I••• unclassified
Mar 6, 2007 to Mar 22, 2007 · Wellesley, Ma

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••
left Aug 6, 2025, registered Aug 13, 2025 (7 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 12, 2024, registered Jan 17, 2025 (280 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to P•••• S••••••••• L••
left Apr 1, 2022, registered Mar 10, 2022 (-22 days) · RIA to affiliated broker-dealer or bank
I••• S••••••••• I••• to L•• F•••••••• L••
left Mar 22, 2007, registered Nov 1, 2021 (5338 days) · Other

Signals

S••••• R••••• S•••• left S•••••••• A••••••• L•• for N•• Y••• L••• I••••••••• M••••••••• L•• (registered 2025-08-13)
Aug 6, 2025 · Advisor changed firm · fact
S••••• R••••• S•••• left P•••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2025-01-17)
Apr 12, 2024 · Advisor changed firm · fact
S••••• R••••• S•••• left L•• F•••••••• L•• for P•••• S••••••••• L•• (registered 2022-03-10)
Apr 1, 2022 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address