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••• A•••••••• R••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Nydual registrantIAPD 4688810

Feed of 09/14/2026

Also filed as J••• A R••••

At current firm

1 y

since Aug 28, 2025

In the industry

21 y

since Aug 9, 2005 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Aug 28, 2025 · New York, Ny
K•• I••••••••• S••••••• L•• BD affiliated
Apr 4, 2024 to Oct 30, 2024 · Brooklyn, Oh
E•••• W••••• M••••••••• L•• other
Jun 23, 2022 to Jul 27, 2022 · Manchester, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 26, 2015 to Aug 7, 2017 · Greenwich, Ct
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 9, 2005 to Apr 10, 2006 · Wilmington, De

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 30, 2024, registered Aug 28, 2025 (302 days) · Affiliated broker-dealer or bank to wirehouse
E•••• W••••• M••••••••• L•• to K•• I••••••••• S••••••• L••
left Jul 27, 2022, registered Apr 4, 2024 (617 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• W••••• M••••••••• L••
left Aug 7, 2017, registered Jun 23, 2022 (1781 days) · Other
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 10, 2006, registered Feb 26, 2015 (3244 days) · Other

Signals

J••• A•••••••• R•••• left K•• I••••••••• S••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-08-28)
Oct 30, 2024 · Advisor changed firm · fact
J••• A•••••••• R•••• left E•••• W••••• M••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2024-04-04)
Jul 27, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address