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•••••• S•••• S•••••••••

O•••• W•••••• I•••BD affiliatedPittsford, Nydual registrantIAPD 5091870

Feed of 09/14/2026

Also filed as M•••••• S. S•••••••••

At current firm

2 y

since Nov 3, 2023

In the industry

20 y

since Jun 30, 2006 (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

O•••• W•••••• I••• BD affiliated current
since Nov 3, 2023 · Pittsford, Ny
F•• S••••••••• C••••••••• former
Dec 1, 2016 to Nov 3, 2023 · West Henrietta, Ny
C•••••• G•••• • C• I•• former
Mar 15, 2012 to Dec 1, 2016 · West Henrietta, Ny
H••• S••••••••• •••• I••• BD affiliated
Dec 14, 2007 to Mar 9, 2012 · Rochester, Ny
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Dec 10, 2007 · Rochester, Ny
M••••• S•••••• D• I••• unclassified
Jul 26, 2006 to Apr 2, 2007 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

F•• S••••••••• C••••••••• to O•••• W•••••• I•••
left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
C•••••• G•••• • C• I•• to F•• S••••••••• C•••••••••
left Dec 1, 2016, registered Dec 1, 2016 (0 days) · Other
H••• S••••••••• •••• I••• to C•••••• G•••• • C• I••
left Mar 9, 2012, registered Mar 15, 2012 (6 days) · Other
M••••• S•••••• • C•• L•• to H••• S••••••••• •••• I•••
left Dec 10, 2007, registered Dec 14, 2007 (4 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address