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

M•••••• J••••• L•••••

T•• A•••••••• G••••BD affiliatedRochester, Ny dual registrantIAPD 5614567

Feed of 09/15/2026

Also filed as M•••••• L•••••

At current firm

0 y

since Jun 29, 2026

In the industry

17 y

since Jan 16, 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

T•• A•••••••• G•••• BD affiliated current
since Jun 29, 2026 · Rochester, Ny
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Jul 1, 2026 · Rochester, Ny
S••••••••• A•••••• A•••••••• I••• former
Dec 1, 2017 to Jun 14, 2024 · Rochester, Ny
I••••• F•••••••• C••••••••• former
Nov 29, 2012 to Dec 4, 2017 · Rochester, Ny
M••••• S•••••• wirehouse
May 4, 2011 to Nov 20, 2012 · Canandaigua, Ny
E••••• J•••• national BD
Feb 3, 2009 to Mar 29, 2011 · Bloomfield, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to T•• A•••••••• G••••
left Jul 1, 2026, registered Jun 29, 2026 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
I••••• F•••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••
left Dec 4, 2017, registered Dec 1, 2017 (-3 days) · Other · moved with a team
M••••• S•••••• to I••••• F•••••••• C•••••••••
left Nov 20, 2012, registered Nov 29, 2012 (9 days) · Other
E••••• J•••• to M••••• S••••••
left Mar 29, 2011, registered May 4, 2011 (36 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M•••••• J••••• L••••• left O•••• W•••••• I••• for T•• A•••••••• G•••• (registered 2026-06-29)
Jul 1, 2026 · 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