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

D••••••• B•• P•••••••

J••• M••••• S••••••••• L••wirehouseJupiter, Fldual registrantIAPD 5348209

Feed of 09/14/2026

Also filed as D••••••• B•• P•••••••

At current firm

5 y

since Mar 2, 2021

In the industry

20 y

since Jul 1, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Mar 2, 2021 · Jupiter, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 2, 2020 to Dec 31, 2020 · Scarsdale, Ny
T• A••••••••• I••• former
Jun 2, 2020 to Jan 11, 2021 · Scarsdale, Ny
E•••••••• A•••••••• L•• national BD
Aug 28, 2017 to Apr 30, 2020 · Stamford, Ct
W•••• F•••• A••••••• wirehouse
Apr 21, 2009 to Feb 22, 2017 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to J••• M••••• S••••••••• L••
left Jan 11, 2021, registered Mar 2, 2021 (50 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Jun 2, 2020 (-212 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 30, 2020, registered Jun 2, 2020 (33 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to E•••••••• A•••••••• L••
left Feb 22, 2017, registered Aug 28, 2017 (187 days) · Wirehouse to affiliated broker-dealer or bank

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