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

Y•• Z• F•••

S•••••••• S•••••••••BD affiliatedScotch Plains, Nj dual registrantIAPD 4398379

Certified Financial Planner

Feed of 09/15/2026

Also filed as Edwin F•••

At current firm

2 y

since May 3, 2024

In the industry

24 y

since Sep 13, 2002 (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

S•••••••• S••••••••• BD affiliated current
since May 3, 2024 · Boston, Ma
K•• I••••••••• S••••••• L•• BD affiliated
Feb 17, 2021 to Jan 21, 2022 · Brooklyn, Oh
U••• B•••••• A•••••••• L•• BD affiliated
Sep 29, 2016 to Feb 24, 2021 · Walnut Creek, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 15, 2015 to Sep 6, 2016 · Cupertino, Ca
T• A••••••••• I••• former
Oct 15, 2015 to Sep 6, 2016 · Cupertino, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to May 31, 2012 · Seattle, Wa
W•••• F•••• I••••••••• L•• unclassified
Dec 9, 2005 to Jan 3, 2011 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to S•••••••• S•••••••••
left Jan 21, 2022, registered May 3, 2024 (833 days) · Affiliated broker-dealer or bank to another
U••• B•••••• A•••••••• L•• to K•• I••••••••• S••••••• L••
left Feb 24, 2021, registered Feb 17, 2021 (-7 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 6, 2016, registered Oct 15, 2015 (-327 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to U••• B•••••• A•••••••• L••
left Sep 6, 2016, registered Sep 29, 2016 (23 days) · Other
W•••• F•••• A••••••• to T• A••••••••• I•••
left May 31, 2012, registered Oct 15, 2015 (1232 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

Y•• Z• F••• left K•• I••••••••• S••••••• L•• for S•••••••• S••••••••• (registered 2024-05-03)
Jan 21, 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: 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