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

M•••••• Z••••

M•• I•••••••• S•••••••• L••BD affiliatedNew York, Ny dual registrantIAPD 5735183

Feed of 09/15/2026

At current firm

2 y

since Mar 12, 2024

In the industry

16 y

since Jan 21, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• I•••••••• S•••••••• L•• BD affiliated current
since Mar 12, 2024 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 4, 2022 to Mar 13, 2024 · New York, Ny
S•••••••• S••••••••• BD affiliated
Sep 26, 2013 to Aug 3, 2022 · Elizabeth, Nj
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Aug 14, 2013 · Bronx, Ny
C•••• I••••••••• S••••••• C•••• former
Mar 6, 2012 to Oct 1, 2012 · Bronx, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to M•• I•••••••• S•••••••• L••
left Mar 13, 2024, registered Mar 12, 2024 (-1 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••
left Aug 3, 2022, registered Aug 4, 2022 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to S•••••••• S•••••••••
left Aug 14, 2013, registered Sep 26, 2013 (43 days) · Other
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

Signals

M•••••• Z•••• left C•••••••• G••••• M•••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-03-12)
Mar 13, 2024 · Advisor changed firm · fact
M•••••• Z•••• left S•••••••• S••••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-08-04)
Aug 3, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address