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••••• B••• F••••• D••••••••

U•••••• W••••• P•••••••independent RIARochester, Ny IA-onlyIAPD 5397757

Feed of 09/15/2026

Also filed as A••••• B F•••••

At current firm

1 y

since Jun 25, 2025

In the industry

18 y

since Oct 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•••••• W••••• P••••••• independent RIA current
since Jun 25, 2025 · Denver, Co
N•••••• W•••••• L•• independent RIA
Apr 14, 2023 to Jun 30, 2025 · Little Rock, Ar
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Feb 1, 2018 to Apr 26, 2023 · Rochester, Ny
H••• F•••• A•••••••• I••• independent RIA
Dec 16, 2013 to Feb 3, 2018 · Rochester, Ny
S•••••••• A••••••• L•• national BD
Nov 26, 2007 to Oct 31, 2013 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

N•••••• W•••••• L•• to U•••••• W••••• P•••••••
left Jun 30, 2025, registered Jun 25, 2025 (-5 days) · RIA to RIA
C•••••••• I••••••••• R••••••• A•••••••• I••• to N•••••• W•••••• L••
left Apr 26, 2023, registered Apr 14, 2023 (-12 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
H••• F•••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 3, 2018, registered Feb 1, 2018 (-2 days) · Other
S•••••••• A••••••• L•• to H••• F•••• A•••••••• I•••
left Oct 31, 2013, registered Dec 16, 2013 (46 days) · Other

Signals

A••••• B••• F••••• D•••••••• left N•••••• W•••••• L•• for U•••••• W••••• P••••••• (registered 2025-06-25)
Jun 30, 2025 · Advisor changed firm · fact
A••••• B••• F••••• D•••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for N•••••• W•••••• L•• (registered 2023-04-14)
Apr 26, 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address