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

E••• S••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSmithtown, Nydual registrantIAPD 6379111

Feed of 09/14/2026

Also filed as E••• Robert S••••••

At current firm

2 y

since Jun 21, 2024

In the industry

12 y

since Jul 1, 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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Jun 21, 2024 · Smithtown, Ny
R•• W••••• L•• independent RIA
Jun 19, 2023 to Oct 16, 2023 · Mastic, Ny
C••• P•••••• A•••••••• L•• former
Jan 26, 2022 to Oct 31, 2022 · Long Island City, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 15, 2021 to Oct 31, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

R•• W••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 16, 2023, registered Jun 21, 2024 (249 days) · RIA to affiliated broker-dealer or bank
C••• P•••••• A•••••••• L•• to R•• W••••• L••
left Oct 31, 2022, registered Jun 19, 2023 (231 days) · Other
C•••••••• G••••• M•••••• I••• to C••• P•••••• A•••••••• L••
left Oct 31, 2022, registered Jan 26, 2022 (-278 days) · channel change inside one enterprise, not a move

Signals

E••• S•••••• left R•• W••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-06-21)
Oct 16, 2023 · Advisor changed firm · fact
E••• S•••••• left C••• P•••••• A•••••••• L•• for R•• W••••• L•• (registered 2023-06-19)
Oct 31, 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