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

E•••••• T•••••••

B••• M••••• I••••••••• M••••••••• I•••formerBronx, Ny dual registrantIAPD 5040870

Feed of 09/14/2026

Also filed as E•••••• T•••••••

At current firm

0 y

since Jun 23, 2026

In the industry

11 y

since Nov 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••• M••••• I••••••••• M••••••••• I••• former current
since Jun 23, 2026 · Bronx, Ny
C••••••• S••••••••• I••• BD affiliated
Oct 4, 2023 to Apr 15, 2025 · New York, Ny
C••••••• P•••••• W••••• BD affiliated
Oct 3, 2023 to Apr 15, 2025 · Tarrytown, Ny
D••••••• B••• S••••••••• I••• no RAUM
Oct 10, 2017 to Jan 25, 2022 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Nov 27, 2015 to Oct 3, 2017 · New York, Ny
C••••• S••••• S••••••••• •••• L•• former
Nov 3, 2014 to Dec 18, 2015 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to C••••••• S••••••••• I•••
left Apr 15, 2025, registered Oct 4, 2023 (-559 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to B••• M••••• I••••••••• M••••••••• I•••
left Apr 15, 2025, registered Jun 23, 2026 (434 days) · Other
D••••••• B••• S••••••••• I••• to C••••••• P•••••• W•••••
left Jan 25, 2022, registered Oct 3, 2023 (616 days) · Affiliated broker-dealer or bank to independent RIA
U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••
left Oct 3, 2017, registered Oct 10, 2017 (7 days) · Other
C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••
left Dec 18, 2015, registered Nov 27, 2015 (-21 days) · corporate re-registration, not a move

Signals

E•••••• T••••••• left C••••••• S••••••••• I••• for B••• M••••• I••••••••• M••••••••• I••• (registered 2026-06-23)
Apr 15, 2025 · Advisor changed firm · fact
E•••••• T••••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-10-04)
Apr 15, 2025 · Advisor changed firm · fact
E•••••• T••••••• left D••••••• B••• S••••••••• I••• for C••••••• P•••••• W••••• (registered 2023-10-03)
Jan 25, 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: Former SEC-registered adviserderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address