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

C••••••••• P••••

M•• I•••••••• S•••••••• L••BD affiliatedAmherst, Ny dual registrantIAPD 6544911

Feed of 09/14/2026

Also filed as C••••••••• Patrick P••••

At current firm

3 y

since Mar 17, 2023

In the industry

10 y

since Nov 11, 2015 (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•• I•••••••• S•••••••• L•• BD affiliated current
since Mar 17, 2023 · Amherst, Ny
W•• A•••• M••••••••• L•• independent RIA
Feb 4, 2022 to Jan 31, 2023 · Amherst, Ny
C•••••• G•••• • C• I•• former
Dec 3, 2019 to Jan 12, 2023 · Williamsville, Ny
C••••••• S••••••••• I••• BD affiliated
Jan 19, 2017 to Mar 13, 2018 · East Aurora, Ny

Moves

a registration end followed by a registration begin elsewhere

W•• A•••• M••••••••• L•• to M•• I•••••••• S•••••••• L••
left Jan 31, 2023, registered Mar 17, 2023 (45 days) · RIA to affiliated broker-dealer or bank
C•••••• G•••• • C• I•• to W•• A•••• M••••••••• L••
left Jan 12, 2023, registered Feb 4, 2022 (-342 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C••••••• S••••••••• I••• to C•••••• G•••• • C• I••
left Mar 13, 2018, registered Dec 3, 2019 (630 days) · Affiliated broker-dealer or bank to another

Signals

C••••••••• P•••• left W•• A•••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-03-17)
Jan 31, 2023 · Advisor changed firm · fact
C••••••••• P•••• left C•••••• G•••• • C• I•• for W•• A•••• M••••••••• L•• (registered 2022-02-04)
Jan 12, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address