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

A••••• T••••• S••••••

C••••• F••••••••• I••••••••• A•••••••mixed wealthNew York, Nydual registrantIAPD 5929773

Feed of 09/14/2026

At current firm

1 y

since Mar 3, 2025

In the industry

13 y

since Mar 15, 2013 (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

C••••• F••••••••• I••••••••• A••••••• mixed wealth current
since Mar 3, 2025 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Sep 6, 2023 to Feb 4, 2025 · Miamisburg, Oh
W•••• F•••• A••••••• wirehouse
Dec 19, 2017 to Apr 21, 2022 · Cincinnati, Oh
S•••••••• I••••••••• M••••••••• former
Sep 15, 2016 to Dec 5, 2017 · Saint Louis, Mo
E••••• J•••• national BD
Mar 20, 2013 to Oct 7, 2014 · Maryland Heights, Mo

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to C••••• F••••••••• I••••••••• A•••••••
left Feb 4, 2025, registered Mar 3, 2025 (27 days) · Wirehouse to independent RIA
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Apr 21, 2022, registered Sep 6, 2023 (503 days) · Wirehouse to wirehouse
S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••
left Dec 5, 2017, registered Dec 19, 2017 (14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Oct 7, 2014, registered Sep 15, 2016 (709 days) · Other

Signals

A••••• T••••• S•••••• left U•• F•••••••• S••••••• I••• for C••••• F••••••••• I••••••••• A••••••• (registered 2025-03-03)
Feb 4, 2025 · Advisor changed firm · fact
A••••• T••••• S•••••• left W•••• F•••• A••••••• for U•• F•••••••• S••••••• I••• (registered 2023-09-06)
Apr 21, 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: Wealth manager with institutional or fund businessderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address