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

A•••• M••••••• S••••

O••••••••• • C•• I•••BD affiliatedNew York, Ny dual registrantIAPD 5298240

Feed of 09/15/2026

Also filed as A•••• M••••••• S••••

At current firm

1 y

since Oct 7, 2024

In the industry

19 y

since May 8, 2007 (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

O••••••••• • C•• I••• BD affiliated current
since Oct 7, 2024 · Brooklyn, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 28, 2022 to Oct 8, 2024 · New York, Ny
C•••••• S••••• • C••• I••• national BD
Oct 16, 2018 to Dec 15, 2022 · New York City, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Oct 10, 2018 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 3, 2016 to Jul 13, 2018 · South Bend, In
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 5, 2015 to Oct 11, 2016 · Fort Mitchell, Ky
S•••••••• A••••••• L•• national BD
Jun 10, 2011 to Oct 30, 2015 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••
left Oct 8, 2024, registered Oct 7, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 15, 2022, registered Nov 28, 2022 (-17 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Oct 10, 2018, registered Oct 16, 2018 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left Oct 11, 2016, registered Nov 3, 2016 (23 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 30, 2015, registered Nov 5, 2015 (6 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A•••• M••••••• S•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O••••••••• • C•• I••• (registered 2024-10-07)
Oct 8, 2024 · Advisor changed firm · fact
A•••• M••••••• S•••• left C•••••• S••••• • C••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-28)
Dec 15, 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: 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