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

R••• O••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Nydual registrantIAPD 6358974

Feed of 09/14/2026

Also filed as R••• A O••••

At current firm

1 y

since Mar 19, 2025

In the industry

12 y

since Sep 12, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Mar 19, 2025 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jul 20, 2021 to Mar 24, 2025 · Weehawken, Nj
E•••••• C•••••• M••••••••• L•• former
Oct 22, 2020 to Jul 20, 2021 · New York, Ny
T• A••••••••• I••• former
Feb 15, 2019 to Nov 19, 2020 · Forest Hills, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 6, 2019 to Nov 19, 2020 · Forest Hills, Ny
U•••• A••••••• L•• other
Jul 31, 2018 to Jan 22, 2019 · New York, Ny
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 28, 2017 to May 1, 2018 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Apr 14, 2016 to Jul 21, 2017 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 2, 2015 to Apr 8, 2016 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 24, 2025, registered Mar 19, 2025 (-5 days) · Wirehouse to wirehouse · moved with a team
E•••••• C•••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••
left Jul 20, 2021, registered Jul 20, 2021 (0 days) · RIA to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 19, 2020, registered Feb 15, 2019 (-643 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Nov 19, 2020, registered Oct 22, 2020 (-28 days) · Other
U•••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 22, 2019, registered Feb 6, 2019 (15 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•••• A••••••• L••
left May 1, 2018, registered Jul 31, 2018 (91 days) · Other · moved with a team
J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 21, 2017, registered Jul 28, 2017 (7 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Apr 8, 2016, registered Apr 14, 2016 (6 days) · Wirehouse to wirehouse · moved with a team

Signals

R••• O•••• left U•• F•••••••• S••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-03-19)
Mar 24, 2025 · 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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address