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•••••• J•••• T•••••

C•••••• S••••• • C••• I•••national BDMt Kisco, Nydual registrantIAPD 6224137

Feed of 09/14/2026

Also filed as M•••••• T•••••

At current firm

1 y

since Feb 28, 2025

In the industry

13 y

since Jul 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Feb 28, 2025 · Mt Kisco, Ny
U••• B•••••• I••••••••• I••• former
Nov 2, 2023 to Sep 25, 2024 · Santa Barbara, Ca
W••• W••••• G••••• L•• independent RIA
Apr 26, 2023 to Aug 3, 2023 · Irvine, Ca
J••• M••••• S••••••••• L•• wirehouse
Feb 26, 2019 to Apr 18, 2023 · Port Hueneme, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to C•••••• S••••• • C••• I•••
left Sep 25, 2024, registered Feb 28, 2025 (156 days) · Affiliated broker-dealer or bank to another
W••• W••••• G••••• L•• to U••• B•••••• I••••••••• I•••
left Aug 3, 2023, registered Nov 2, 2023 (91 days) · RIA to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W••• W••••• G••••• L••
left Apr 18, 2023, registered Apr 26, 2023 (8 days) · Wirehouse to independent RIA

Signals

M•••••• J•••• T••••• left U••• B•••••• I••••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-02-28)
Sep 25, 2024 · Advisor changed firm · fact
M•••••• J•••• T••••• left W••• W••••• G••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-11-02)
Aug 3, 2023 · Advisor changed firm · fact
M•••••• J•••• T••••• left J••• M••••• S••••••••• L•• for W••• W••••• G••••• L•• (registered 2023-04-26)
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