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•••• M•••••• I•••••

L•• F•••••••• L••BD affiliatedSmithtown, Ny dual registrantIAPD 5508050

Feed of 09/15/2026

Also filed as D•••• M I•••••

At current firm

1 y

since Mar 26, 2025

In the industry

16 y

since Dec 28, 2009 (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

L•• F•••••••• L•• BD affiliated current
since Mar 26, 2025 · San Diego, Ca
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Mar 28, 2025 · S••••Town, Ny
A••••••• P••••••••• A•••••••• I•• former
Jul 6, 2022 to Oct 11, 2024 · Holbrook, Ny
A••••• P•••••• I••••••••• A•••• M••••••••• I••• former
Aug 13, 2013 to Dec 31, 2020 · Boston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 16, 2011 to Mar 5, 2013 · Wellesley Hills, Ma
C••••••• • C••• I••• former
Jun 23, 2010 to Dec 6, 2011 · Malden, Ma

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Mar 28, 2025, registered Mar 26, 2025 (-2 days) · Affiliated broker-dealer or bank to another
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
A••••• P•••••• I••••••••• A•••• M••••••••• I••• to A••••••• P••••••••• A•••••••• I••
left Dec 31, 2020, registered Jul 6, 2022 (552 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• P•••••• I••••••••• A•••• M••••••••• I•••
left Mar 5, 2013, registered Aug 13, 2013 (161 days) · Other
C••••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 6, 2011, registered Dec 16, 2011 (10 days) · Other

Signals

D•••• M•••••• I••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-03-26)
Mar 28, 2025 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address