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•••• P•••

P••• W••••• P•••••••• L••state registeredTarrytown, NyIA-onlyIAPD 5367975

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••• J•••• P•••

At current firm

3 y

since Sep 6, 2023

In the industry

12 y

since Jul 1, 2014 (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

P••• W••••• P•••••••• L•• state registered current
since Sep 6, 2023 · Tarrytown, Ny
N•••••••• I••••••••• A••••••• L•• no RAUM
Apr 11, 2022 to Jun 22, 2023 · New York, Ny
P•••• C•••••• C•• unclassified
Feb 14, 2021 to Apr 1, 2021 · New York, Ny
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 26, 2019 to Oct 14, 2020 · New York, Ny
M••••• S•••••• wirehouse
Oct 22, 2014 to Oct 15, 2018 · Farmington Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

N•••••••• I••••••••• A••••••• L•• to P••• W••••• P•••••••• L••
left Jun 22, 2023, registered Sep 6, 2023 (76 days) · Other
P•••• C•••••• C•• to N•••••••• I••••••••• A••••••• L••
left Apr 1, 2021, registered Apr 11, 2022 (375 days) · Other
A••••••••• F•••••••• S•••••••• L•• to P•••• C•••••• C••
left Oct 14, 2020, registered Feb 14, 2021 (123 days) · Other
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Oct 15, 2018, registered Dec 26, 2019 (437 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C••••• J•••• P••• left N•••••••• I••••••••• A••••••• L•• for P••• W••••• P•••••••• L•• (registered 2023-09-06)
Jun 22, 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: STATE REGISTEREDderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address