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

Z•••••• M•••••• H••••••

U•• F•••••••• S••••••• I•••wirehouseMelville, Ny dual registrantIAPD 5296537

Feed of 09/14/2026

At current firm

2 y

since Jan 16, 2024

In the industry

17 y

since May 4, 2009 (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

U•• F•••••••• S••••••• I••• wirehouse current
since Jan 16, 2024 · Melville, Ny
R•••••• J•••• • A••••••••• I••• national BD
Jul 28, 2017 to Jan 19, 2024 · Garden City, Ny
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 12, 2012 to Jul 27, 2017 · Garden City, Ny
M••••• S•••••• wirehouse
Aug 6, 2010 to Jul 11, 2012 · Garden City, Ny
N•••••••• B••••• M••••••••• L•• former
Oct 29, 2009 to Dec 31, 2009 · New York, Ny
N•••••••• B••••• B• L•• no RAUM
May 5, 2009 to Oct 29, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••
left Jan 19, 2024, registered Jan 16, 2024 (-3 days) · Affiliated broker-dealer or bank to wirehouse
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Jul 27, 2017, registered Jul 28, 2017 (1 days) · Other · moved with a team
M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 11, 2012, registered Jul 12, 2012 (1 days) · Other
N•••••••• B••••• M••••••••• L•• to M••••• S••••••
left Dec 31, 2009, registered Aug 6, 2010 (218 days) · Other
N•••••••• B••••• B• L•• to N•••••••• B••••• M••••••••• L••
left Oct 29, 2009, registered Oct 29, 2009 (0 days) · Other

Signals

Z•••••• M•••••• H•••••• left R•••••• J•••• • A••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2024-01-16)
Jan 19, 2024 · 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address