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

N••••• T•••• S••••••••

H••• S••••••••• •••• I•••BD affiliatedBuffalo, Ny dual registrantIAPD 5454247

Feed of 09/14/2026

Also filed as N••••• T•••• S••••••••

At current firm

3 y

since Nov 17, 2022

In the industry

15 y

since Oct 15, 2010 (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

H••• S••••••••• •••• I••• BD affiliated current
since Nov 17, 2022 · Buffalo, Ny
T••••• W••••• A•••••••• I••• independent RIA
Aug 17, 2021 to Nov 15, 2022 · Buffalo, Ny
L•• F•••••••• L•• BD affiliated
Jun 9, 2021 to Jul 30, 2021 · Buffalo, Ny
M•• S••••••••• I••• unclassified
Jul 10, 2018 to Jun 9, 2021 · Buffalo, Ny
H••• S••••••••• •••• I••• BD affiliated
Jan 13, 2017 to Jul 3, 2018 · Buffalo, Ny
K•• I••••••••• S••••••• L•• BD affiliated
Sep 21, 2016 to Nov 4, 2016 · Williamsville, Ny
L•• F•••••••• L•• BD affiliated
Sep 24, 2013 to Sep 21, 2016 · North Tonawanda, Ny
M•• S••••••••• I••• unclassified
Oct 15, 2010 to Sep 20, 2013 · Baltimore, Md

Moves

a registration end followed by a registration begin elsewhere

T••••• W••••• A•••••••• I••• to H••• S••••••••• •••• I•••
left Nov 15, 2022, registered Nov 17, 2022 (2 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to T••••• W••••• A•••••••• I•••
left Jul 30, 2021, registered Aug 17, 2021 (18 days) · Affiliated broker-dealer or bank to independent RIA
M•• S••••••••• I••• to L•• F•••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
H••• S••••••••• •••• I••• to M•• S••••••••• I•••
left Jul 3, 2018, registered Jul 10, 2018 (7 days) · Other
K•• I••••••••• S••••••• L•• to H••• S••••••••• •••• I•••
left Nov 4, 2016, registered Jan 13, 2017 (70 days) · Other
L•• F•••••••• L•• to K•• I••••••••• S••••••• L••
left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
M•• S••••••••• I••• to L•• F•••••••• L••
left Sep 20, 2013, registered Sep 24, 2013 (4 days) · Other

Signals

N••••• T•••• S•••••••• left T••••• W••••• A•••••••• I••• for H••• S••••••••• •••• I••• (registered 2022-11-17)
Nov 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address