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••• R•••••

K••••• A••••••• S•••••••• L••BD affiliatedNew York, Ny dual registrantIAPD 5922081

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as S••• Andrew R•••••

At current firm

1 y

since Mar 11, 2025

In the industry

15 y

since Sep 8, 2011 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Mar 11, 2025 · Newburgh, Ny
N••••••••• M••••• I••••••••• S••••••••• no RAUM
May 4, 2022 to Jan 18, 2024 · Norwalk, Ct
M••••• W••••• M••••••••• G•••• independent RIA
May 20, 2021 to Mar 29, 2022 · Fishkill, Ny
M••••• S•••••• wirehouse
Aug 8, 2016 to Apr 1, 2019 · Poughkeepsie, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 21, 2014 to May 26, 2016 · Yorktown Heights, Ny
O•••• F•• I••• former
May 12, 2014 to Nov 5, 2014 · Poughkeepsie, Ny
O•••• F•• I••• former
Apr 16, 2013 to Apr 25, 2013 · Poughkeepsie, Ny

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to K••••• A••••••• S•••••••• L••
left Jan 18, 2024, registered Mar 11, 2025 (418 days) · Other
M••••• W••••• M••••••••• G•••• to N••••••••• M••••• I••••••••• S•••••••••
left Mar 29, 2022, registered May 4, 2022 (36 days) · Other
M••••• S•••••• to M••••• W••••• M••••••••• G••••
left Apr 1, 2019, registered May 20, 2021 (780 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left May 26, 2016, registered Aug 8, 2016 (74 days) · Wirehouse to wirehouse · moved with a team
O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 5, 2014, registered Nov 21, 2014 (16 days) · Other

Signals

S••• R••••• left N••••••••• M••••• I••••••••• S••••••••• for K••••• A••••••• S•••••••• L•• (registered 2025-03-11)
Jan 18, 2024 · Advisor changed firm · fact
S••• R••••• left M••••• W••••• M••••••••• G•••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2022-05-04)
Mar 29, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address