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

M•••••• J• S•••••••

O•••• W•••••• I•••BD affiliatedClifton Park, Nydual registrantIAPD 4937731

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• J• S•••••••

At current firm

1 y

since Oct 11, 2024

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

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

O•••• W•••••• I••• BD affiliated current
since Oct 11, 2024 · Clifton Park, Ny
A••••••• P••••••••• A•••••••• I•• former
Mar 17, 2023 to Oct 11, 2024 · Holbrook, Ny
T•• M••••••••• I•• independent RIA
Jan 17, 2020 to Mar 22, 2023 · Clifton Park, Ny
T•• M••••••••• I•• independent RIA
Jun 7, 2017 to Dec 31, 2019 · Clifton Park, Ny
E•••••••• A•••••••• L•• national BD
Apr 2, 2009 to Jan 8, 2013 · Williamsville, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
T•• M••••••••• I•• to A••••••• P••••••••• A•••••••• I••
left Mar 22, 2023, registered Mar 17, 2023 (-5 days) · RIA to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to T•• M••••••••• I••
left Jan 8, 2013, registered Jun 7, 2017 (1611 days) · Other

Signals

M•••••• J• S••••••• left T•• M••••••••• I•• for A••••••• P••••••••• A•••••••• I•• (registered 2023-03-17)
Mar 22, 2023 · 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: 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