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•••••• W•••••

T• P•••••• C••••• W••••• L••BD affiliatedNew York, Ny dual registrantIAPD 6187585

Feed of 09/15/2026

Also filed as S•••••• W W•••••

At current firm

0 y

since Feb 24, 2026

In the industry

13 y

since Jun 6, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T• P•••••• C••••• W••••• L•• BD affiliated current
since Feb 24, 2026 · Middle Village, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 14, 2024 to Aug 12, 2025 · Forest Hills, Ny
S•••••••• S••••••••• BD affiliated
Jul 22, 2021 to Sep 5, 2023 · Staten Island, Ny
W•••• F•••• A••••••• wirehouse
Feb 24, 2015 to Dec 7, 2020 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• P•••••• C••••• W••••• L••
left Aug 12, 2025, registered Feb 24, 2026 (196 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 5, 2023, registered Feb 14, 2024 (162 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to S•••••••• S•••••••••
left Dec 7, 2020, registered Jul 22, 2021 (227 days) · Wirehouse to affiliated broker-dealer or bank

Signals

S•••••• W••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T• P•••••• C••••• W••••• L•• (registered 2026-02-24)
Aug 12, 2025 · Advisor changed firm · fact
S•••••• W••••• left S•••••••• S••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-02-14)
Sep 5, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address