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•••••• C•••••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 6358280

Feed of 09/15/2026

Also filed as A•••••• James C•••••••

At current firm

2 y

since Apr 4, 2024

In the industry

12 y

since Jul 24, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since Apr 4, 2024 · Huntington Station, Ny
J••• M••••• S••••••••• L•• wirehouse
Jan 19, 2023 to Mar 8, 2024 · Greenvale, Ny
E••••• J•••• national BD
Feb 26, 2021 to May 26, 2022 · Smithtown, Ny
E•••••• C•••••• M••••••••• L•• former
Dec 26, 2018 to Nov 10, 2020 · Garden City, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
May 31, 2017 to Dec 10, 2018 · Great Neck, Ny
T• A••••••••• I••• former
May 26, 2017 to Dec 10, 2018 · Manhasset, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••
left Mar 8, 2024, registered Apr 4, 2024 (27 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to J••• M••••• S••••••••• L••
left May 26, 2022, registered Jan 19, 2023 (238 days) · Affiliated broker-dealer or bank to wirehouse
E•••••• C•••••• M••••••••• L•• to E••••• J••••
left Nov 10, 2020, registered Feb 26, 2021 (108 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 10, 2018, registered May 31, 2017 (-558 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••
left Dec 10, 2018, registered Dec 26, 2018 (16 days) · RIA to RIA

Signals

A•••••• C••••••• left J••• M••••• S••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-04-04)
Mar 8, 2024 · Advisor changed firm · fact
A•••••• C••••••• left E••••• J•••• for J••• M••••• S••••••••• L•• (registered 2023-01-19)
May 26, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address