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•••••• P•••••••••

S•••••••• A••••••• L••national BDLake Grove, Ny dual registrantIAPD 6125535

Feed of 09/15/2026

Also filed as M•••••• Ann P•••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

13 y

since May 24, 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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Oyster Bay, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 18, 2024 to Mar 31, 2025 · Lake Grove, Ny
H•••••••• A•••••••• L•• BD affiliated
Apr 14, 2023 to Nov 14, 2024 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 12, 2018 to Apr 18, 2023 · Great Neck, Ny
J••• M••••• S••••••••• L•• wirehouse
Apr 13, 2016 to Oct 25, 2018 · Great Neck, Ny
M••••• S•••••• wirehouse
May 27, 2013 to Apr 21, 2016 · Great Neck, Ny

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
H•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Nov 14, 2024, registered Dec 18, 2024 (34 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••
left Apr 18, 2023, registered Apr 14, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 25, 2018, registered Oct 12, 2018 (-13 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• to J••• M••••• S••••••••• L••
left Apr 21, 2016, registered Apr 13, 2016 (-8 days) · Wirehouse to wirehouse

Signals

M•••••• P••••••••• left H•••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-12-18)
Nov 14, 2024 · Advisor changed firm · fact
M•••••• P••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for H•••••••• A•••••••• L•• (registered 2023-04-14)
Apr 18, 2023 · 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address