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••• M•••••• R•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSyracuse, Nydual registrantIAPD 4415464

Feed of 09/14/2026

Also filed as P••• M•••••• R•••••

At current firm

1 y

since Jul 30, 2025

In the industry

10 y

since Mar 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Jul 30, 2025 · Syracuse, Ny
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jun 27, 2024 to Apr 23, 2025 · Liverpool, Ny
E••••••• W••••• A••••••• former
Apr 10, 2023 to Feb 12, 2024 · Old Lyme, Ct
P•••• S••••••••• L•• no RAUM
Sep 23, 2021 to Sep 30, 2022 · Syracuse, Ny

Moves

a registration end followed by a registration begin elsewhere

T••••••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 23, 2025, registered Jul 30, 2025 (98 days) · Affiliated broker-dealer or bank to wirehouse
E••••••• W••••• A••••••• to T••••••• I••••••••• M••••••••• I•••
left Feb 12, 2024, registered Jun 27, 2024 (136 days) · RIA to affiliated broker-dealer or bank
P•••• S••••••••• L•• to E••••••• W••••• A•••••••
left Sep 30, 2022, registered Apr 10, 2023 (192 days) · Affiliated broker-dealer or bank to independent RIA

Signals

P••• M•••••• R••••• left T••••••• I••••••••• M••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-07-30)
Apr 23, 2025 · Advisor changed firm · fact
P••• M•••••• R••••• left E••••••• W••••• A••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2024-06-27)
Feb 12, 2024 · Advisor changed firm · fact
P••• M•••••• R••••• left P•••• S••••••••• L•• for E••••••• W••••• A••••••• (registered 2023-04-10)
Sep 30, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address