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

S•••••• A•••••• D•••••

P•••••••• S••••••••• I•••BD affiliatedBrooklyn, Ny dual registrantIAPD 5530877

Feed of 09/19/2026

Also filed as S•••••• A•••••• D•••••

At current firm

4 y

since Sep 14, 2022

In the industry

14 y

since May 19, 2012 (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•••••••• S••••••••• I••• BD affiliated current
since Sep 14, 2022 · Brooklyn, Ny
T••••••••• R••••••••• A•••••••• L•• BD affiliated
May 31, 2016 to Aug 9, 2022 · Denver, Co
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Feb 12, 2015 to May 12, 2016 · St. Petersburg, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 27, 2013 to Oct 13, 2014 · Clearwater, Fl
M••••• S•••••• wirehouse
Dec 10, 2012 to Feb 12, 2013 · Clearwater, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 22, 2012 to Nov 16, 2012 · Clearwater, Fl

Moves

a registration end followed by a registration begin elsewhere

T••••••••• R••••••••• A•••••••• L•• to P•••••••• S••••••••• I•••
left Aug 9, 2022, registered Sep 14, 2022 (36 days) · Affiliated broker-dealer or bank to another
T••••••••• F•••••••• A•••••••• L•• to T••••••••• R••••••••• A•••••••• L••
left May 12, 2016, registered May 31, 2016 (19 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T••••••••• F•••••••• A•••••••• L••
left Oct 13, 2014, registered Feb 12, 2015 (122 days) · Other
M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Feb 12, 2013, registered Jun 27, 2013 (135 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Nov 16, 2012, registered Dec 10, 2012 (24 days) · Wirehouse to wirehouse

Signals

S•••••• A•••••• D••••• added a TX registration at P•••••••• S••••••••• I•••
Sep 18, 2026 · New state registration · fact
S•••••• A•••••• D••••• left T••••••••• R••••••••• A•••••••• L•• for P•••••••• S••••••••• I••• (registered 2022-09-14)
Aug 9, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address