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.

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Registered advisor

B•••• W•••••• D•••

O•••• I••••••••• I•••BD affiliatedPoughkeepsie, Nydual registrantIAPD 5520275

Feed of 09/14/2026

Also filed as Brian W Daly

At current firm

1 y

since Feb 18, 2025

In the industry

17 y

since Nov 3, 2008 (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

O•••• I••••••••• I••• BD affiliated current
since Feb 18, 2025 · Poughkeepsie, Ny
K•• I••••••••• S••••••• L•• BD affiliated
Jul 11, 2024 to Feb 11, 2025 · Brooklyn, Oh
A•••• C•••••• C•••• BD affiliated
May 30, 2024 to Jun 26, 2024 · Melville, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 5, 2019 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Nov 3, 2010 to Oct 1, 2012 · New York, Ny
E••••• J•••• national BD
Nov 3, 2008 to Oct 8, 2010 · Upper Montclair, Nj

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to O•••• I••••••••• I•••
left Feb 11, 2025, registered Feb 18, 2025 (7 days) · Affiliated broker-dealer or bank to another
A•••• C•••••• C•••• to K•• I••••••••• S••••••• L••
left Jun 26, 2024, registered Jul 11, 2024 (15 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to A•••• C•••••• C••••
left Apr 5, 2019, registered May 30, 2024 (1882 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
E••••• J•••• to C•••• I••••••••• S••••••• C••••
left Oct 8, 2010, registered Nov 3, 2010 (26 days) · Other

Signals

B•••• W•••••• D••• left K•• I••••••••• S••••••• L•• for O•••• I••••••••• I••• (registered 2025-02-18)
Feb 11, 2025 · Advisor changed firm · fact
B•••• W•••••• D••• left A•••• C•••••• C•••• for K•• I••••••••• S••••••• L•• (registered 2024-07-11)
Jun 26, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address