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

L••••••• E•••••••• A•••••••

E•••••• F•••••••• E••••••independent RIAFarmington, NyIA-onlyIAPD 5155722

Feed of 09/14/2026

Also filed as L••••••• A•••••••

At current firm

0 y

since Nov 12, 2025

In the industry

19 y

since Oct 28, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• F•••••••• E•••••• independent RIA current
since Nov 12, 2025 · Farmington, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 11, 2023 to Nov 2, 2025 · Bridgeport, Ct
W•••• F•••• A••••••• wirehouse
May 2, 2014 to Apr 26, 2022 · Melville, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 9, 2013 to Apr 24, 2014 · Staten Island, Ny
C•••• I••••••••• S••••••• C•••• former
Dec 1, 2009 to Mar 9, 2012 · Astoria, Ny
T• A••••••••• I••• former
Jan 2, 2008 to Mar 16, 2009 · Forest Hills, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 2, 2008 to Mar 16, 2009 · Forest Hills, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E•••••• F•••••••• E••••••
left Nov 2, 2025, registered Nov 12, 2025 (10 days) · Wirehouse to independent RIA
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Apr 26, 2022, registered Oct 11, 2023 (533 days) · Wirehouse to wirehouse · moved with a team
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Apr 24, 2014, registered May 2, 2014 (8 days) · Other
C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••
left Mar 9, 2012, registered Sep 9, 2013 (549 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to C•••• I••••••••• S••••••• C••••
left Mar 16, 2009, registered Dec 1, 2009 (260 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 16, 2009, registered Jan 2, 2008 (-439 days) · channel change inside one enterprise, not a move

Signals

L••••••• E•••••••• A••••••• left J••• M••••• S••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2025-11-12)
Nov 2, 2025 · Advisor changed firm · fact
L••••••• E•••••••• A••••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-10-11)
Apr 26, 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address