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

E••• B••••

C••••••• P•••••• W•••••BD affiliatedTarrytown, Ny dual registrantIAPD 5638425

Feed of 09/14/2026

Also filed as E••• B••••

At current firm

1 y

since Oct 17, 2024

In the industry

17 y

since Mar 13, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P•••••• W••••• BD affiliated current
since Oct 17, 2024 · Boston, Ma
J••• M••••• S••••••••• L•• wirehouse
Feb 13, 2024 to Aug 10, 2024 · Boston, Ma
J••• M••••• P•••••• W••••• A••••••• L•• former
Nov 17, 2022 to Aug 16, 2024 · Boston, Ma
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Oct 23, 2009 to Sep 30, 2010 · Boston, Ma
N•• E•••••• S••••••••• C••••••••• former
Apr 15, 2009 to Sep 25, 2009 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Aug 16, 2024, registered Feb 13, 2024 (-185 days) · channel change inside one enterprise, not a move
J••• M••••• S••••••••• L•• to C••••••• P•••••• W•••••
left Aug 10, 2024, registered Oct 17, 2024 (68 days) · Wirehouse to independent RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• P•••••• W••••• A••••••• L••
left Sep 30, 2010, registered Nov 17, 2022 (4431 days) · Other
N•• E•••••• S••••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Sep 25, 2009, registered Oct 23, 2009 (28 days) · Other

Signals

E••• B•••• left J••• M••••• S••••••••• L•• for C••••••• P•••••• W••••• (registered 2024-10-17)
Aug 10, 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