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

C••••••••• J•••••

L•• E••••••••• L••BD affiliatedMelville, Nydual registrantIAPD 5220798

Feed of 09/14/2026

Also filed as C••••••••• B J•••••

At current firm

1 y

since Nov 14, 2024

In the industry

19 y

since Oct 13, 2006 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Melville, Ny
P•••• S••••••••• L•• no RAUM
Mar 26, 2024 to Nov 14, 2024 · Melville, Ny
T• P•••••• C••••• W••••• L•• BD affiliated
Jul 12, 2023 to Mar 29, 2024 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 17, 2013 to Jun 16, 2023 · Uniondale, Ny
H••• S••••••••• •••• I••• BD affiliated
Sep 17, 2010 to Sep 18, 2013 · Centereach, Ny

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
T• P•••••• C••••• W••••• L•• to P•••• S••••••••• L••
left Mar 29, 2024, registered Mar 26, 2024 (-3 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to T• P•••••• C••••• W••••• L••
left Jun 16, 2023, registered Jul 12, 2023 (26 days) · Affiliated broker-dealer or bank to another
H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 18, 2013, registered Sep 17, 2013 (-1 days) · Other

Signals

C••••••••• J••••• left T• P•••••• C••••• W••••• L•• for P•••• S••••••••• L•• (registered 2024-03-26)
Mar 29, 2024 · Advisor changed firm · fact
C••••••••• J••••• left C•••••••• G••••• M•••••• I••• for T• P•••••• C••••• W••••• L•• (registered 2023-07-12)
Jun 16, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address