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••••• J••• K•••••••

E••• E•• F•••••••• G••••• I•••independent RIARiverhead, Nydual registrantIAPD 4633352

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

5 y

since May 22, 2021

In the industry

22 y

since Feb 9, 2004 (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

O•••• W•••••• I••• BD affiliated current
since Oct 11, 2024 · Riverhead, Ny
E••• E•• F•••••••• G••••• I••• independent RIA current
since May 22, 2021 · Riverhead, Ny
A••••••• P••••••••• A•••••••• I•• former
Jan 12, 2018 to Oct 11, 2024 · Holbrook, Ny
J••• H•••••• I••••••••• M••••••••• L•• asset manager
Dec 15, 2004 to Jul 29, 2005 · Boston, Ma
M••••••• I••••••••• M••••••••• ••• L•• asset manager
Dec 15, 2004 to Jul 29, 2005 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to E••• E•• F•••••••• G••••• I•••
left Oct 11, 2024, registered May 22, 2021 (-1238 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••
left Jul 29, 2005, registered Dec 15, 2004 (-226 days) · Other
M••••••• I••••••••• M••••••••• ••• L•• to A••••••• P••••••••• A•••••••• I••
left Jul 29, 2005, registered Jan 12, 2018 (4550 days) · Other

Signals

J••••• J••• K••••••• left A••••••• P••••••••• A•••••••• I•• for E••• E•• F•••••••• G••••• I••• (registered 2021-05-22)
Oct 11, 2024 · 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: Independent wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address