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••••• G•••••••

O•••• I••••••••• I•••BD affiliatedNew York, Nydual registrantIAPD 5775239

Feed of 09/14/2026

At current firm

1 y

since Apr 7, 2025

In the industry

16 y

since May 28, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Apr 7, 2025 · New York, Ny
C••••••• S••••••••• I••• BD affiliated
Jun 18, 2024 to Oct 23, 2024 · Fort Lee, Nj
M••••• S•••••• wirehouse
Sep 1, 2022 to Apr 11, 2024 · Morristown, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
May 22, 2020 to Aug 19, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to O•••• I••••••••• I•••
left Oct 23, 2024, registered Apr 7, 2025 (166 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••••••• S••••••••• I•••
left Apr 11, 2024, registered Jun 18, 2024 (68 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Aug 19, 2022, registered Sep 1, 2022 (13 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M••••• G••••••• no longer holds an investment adviser registration (last listed at O•••• I••••••••• I••• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
M••••• G••••••• left C••••••• S••••••••• I••• for O•••• I••••••••• I••• (registered 2025-04-07)
Oct 23, 2024 · Advisor changed firm · fact
M••••• G••••••• left M••••• S•••••• for C••••••• S••••••••• I••• (registered 2024-06-18)
Apr 11, 2024 · Advisor changed firm · fact
M••••• G••••••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2022-09-01)
Aug 19, 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