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

J•••• R••••• Q••••••

L•• F•••••••• L••BD affiliatedFlushing, Ny dual registrantIAPD 4406453

Feed of 09/14/2026

Also filed as J•••• R••••• Q••••••

At current firm

0 y

since Nov 3, 2025

In the industry

22 y

since Jul 9, 2004 (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

L•• F•••••••• L•• BD affiliated current
since Nov 3, 2025 · Flushing, Ny
W•••• F•••• A••••••• wirehouse
Mar 24, 2021 to Mar 14, 2025 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse
Apr 30, 2018 to Dec 8, 2020 · Melville, Ny
C•••••• O•• A•••••••• L•• former
Sep 13, 2017 to Apr 9, 2018 · Flushing, Ny
E•••••• C•••••• M••••••••• L•• former
Nov 23, 2015 to Apr 17, 2017 · Scarsdale, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 18, 2008 to Mar 18, 2015 · Great Neck, Ny
T• A••••••••• I••• former
Mar 21, 2006 to Mar 18, 2015 · Manhasset, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Mar 14, 2025, registered Nov 3, 2025 (234 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• O•• A•••••••• L•• to W•••• F•••• A•••••••
left Apr 9, 2018, registered Apr 30, 2018 (21 days) · Affiliated broker-dealer or bank to wirehouse
E•••••• C•••••• M••••••••• L•• to C•••••• O•• A•••••••• L••
left Apr 17, 2017, registered Sep 13, 2017 (149 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••
left Mar 18, 2015, registered Nov 23, 2015 (250 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 18, 2015, registered Jun 18, 2008 (-2464 days) · channel change inside one enterprise, not a move

Signals

J•••• R••••• Q•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-11-03)
Mar 14, 2025 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address