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

D••••• D•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Ny dual registrantIAPD 6372717

Feed of 09/15/2026

Also filed as D••••• D•••••

At current firm

1 y

since Oct 23, 2024

In the industry

14 y

since Jul 1, 2012 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Oct 23, 2024 · New York, Ny
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 12, 2024 to Aug 23, 2024 · Phoenix, Az
T••••• A••••••• S•••••••• I••• BD affiliated
May 6, 2021 to Aug 18, 2023 · Norfolk, Va
W•••• F•••• A••••••• wirehouse
Apr 2, 2018 to Sep 29, 2020 · Chesapeake, Va

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 23, 2024, registered Oct 23, 2024 (61 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
T••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Aug 18, 2023, registered Mar 12, 2024 (207 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••
left Sep 29, 2020, registered May 6, 2021 (219 days) · Wirehouse to affiliated broker-dealer or bank

Signals

D••••• D••••• left A••••••••• F•••••••• S•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-23)
Aug 23, 2024 · Advisor changed firm · fact
D••••• D••••• left T••••• A••••••• S•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-12)
Aug 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address