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

A•• P•••• P•••• O••••••

S•••••• C•••••• A••••••• L••BD affiliatedNew York, Nydual registrantIAPD 4490914

Feed of 09/14/2026

Also filed as Ana P•••• P••••

At current firm

5 y

since May 28, 2021

In the industry

21 y

since May 9, 2005 (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•••••• C•••••• A••••••• L•• BD affiliated current
since May 28, 2021 · New York, Ny
W•••• F•••• A••••••• wirehouse
Sep 25, 2018 to Jun 3, 2021 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Nov 21, 2014 to Sep 18, 2018 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jan 1, 2010 to Sep 20, 2013 · New York, Ny
U•• I••••••••• I••• unclassified
Jan 16, 2009 to Jan 1, 2010 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• C•••••• A••••••• L••
left Jun 3, 2021, registered May 28, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Sep 18, 2018, registered Sep 25, 2018 (7 days) · Wirehouse to wirehouse · moved with a team
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Sep 20, 2013, registered Nov 21, 2014 (427 days) · Wirehouse to wirehouse
U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••
left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address