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

S••• B••••••••

J••• M••••• S••••••••• L••wirehouseNew York, Ny dual registrantIAPD 4713329

Feed of 09/15/2026

Also filed as Seth Charles Berkowitz

At current firm

4 y

since Jun 14, 2022

In the industry

22 y

since Nov 19, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Jun 14, 2022 · Charlotte, Nc
C••••••• S••••••••• I••• BD affiliated
Mar 7, 2022 to Jun 15, 2022 · Syracuse, Ny
H••• S••••••••• •••• I••• BD affiliated
Feb 1, 2016 to Feb 18, 2022 · New York, Ny
S•••••••• S••••••••• BD affiliated
Jun 15, 2015 to Jan 22, 2016 · Brooklyn, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 24, 2014 to May 27, 2015 · New York, Ny
S•••••••• S••••••••• BD affiliated
Feb 14, 2013 to Feb 3, 2014 · Staten Island, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 21, 2011 to Feb 25, 2013 · New York, Ny
H••• S••••••••• •••• I••• BD affiliated
Jan 28, 2010 to Sep 9, 2011 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Dec 8, 2005 to Jan 4, 2010 · Staten Island, Ny
M••••• S•••••• D• I••• unclassified
Mar 29, 2005 to Dec 5, 2005 · Jericho, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Jun 15, 2022, registered Jun 14, 2022 (-1 days) · Affiliated broker-dealer or bank to wirehouse
H••• S••••••••• •••• I••• to C••••••• S••••••••• I•••
left Feb 18, 2022, registered Mar 7, 2022 (17 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• S••••••••• to H••• S••••••••• •••• I•••
left Jan 22, 2016, registered Feb 1, 2016 (10 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••
left May 27, 2015, registered Jun 15, 2015 (19 days) · Other
S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 3, 2014, registered Nov 24, 2014 (294 days) · Other
C•••••••• G••••• M•••••• I••• to S•••••••• S•••••••••
left Feb 25, 2013, registered Feb 14, 2013 (-11 days) · Other
H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 9, 2011, registered Oct 21, 2011 (42 days) · Other
C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••
left Jan 4, 2010, registered Jan 28, 2010 (24 days) · Other
M••••• S•••••• D• I••• to C•••• I••••••••• S••••••• C••••
left Dec 5, 2005, registered Dec 8, 2005 (3 days) · Other

Signals

S••• B•••••••• left C••••••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-06-14)
Jun 15, 2022 · Advisor changed firm · fact
S••• B•••••••• left H••• S••••••••• •••• I••• for C••••••• S••••••••• I••• (registered 2022-03-07)
Feb 18, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address