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

J••••••• D•••••

W•••• F•••• A•••••••wirehouseWhite Plains, Nydual registrantIAPD 6788171

Feed of 09/14/2026

At current firm

1 y

since Sep 17, 2025

In the industry

10 y

since Nov 1, 2015 (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

W•••• F•••• A••••••• wirehouse current
since Sep 17, 2025 · White Plains, Ny
L•• E••••••••• L•• BD affiliated
Mar 19, 2025 to Jun 9, 2025 · New York, Ny
A••••• A•• P••••••• S••••••• BD affiliated
May 16, 2023 to Jun 10, 2024 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 12, 2021 to Jul 29, 2022 · Jackson Heights, Ny
P•••••••• A••••••• national BD
Jul 13, 2021 to Sep 29, 2021 · Freeport, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 12, 2019 to Aug 5, 2019 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to W•••• F•••• A•••••••
left Jun 9, 2025, registered Sep 17, 2025 (100 days) · Affiliated broker-dealer or bank to wirehouse
A••••• A•• P••••••• S••••••• to L•• E••••••••• L••
left Jun 10, 2024, registered Mar 19, 2025 (282 days) · Affiliated broker-dealer or bank to a newly registered adviser
C•••••••• G••••• M•••••• I••• to A••••• A•• P••••••• S•••••••
left Jul 29, 2022, registered May 16, 2023 (291 days) · Affiliated broker-dealer or bank to another
P•••••••• A••••••• to C•••••••• G••••• M•••••• I•••
left Sep 29, 2021, registered Nov 12, 2021 (44 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• A•••••••
left Aug 5, 2019, registered Jul 13, 2021 (708 days) · Wirehouse to affiliated broker-dealer or bank

Signals

J••••••• D••••• left L•• E••••••••• L•• for W•••• F•••• A••••••• (registered 2025-09-17)
Jun 9, 2025 · Advisor changed firm · fact
J••••••• D••••• left A••••• A•• P••••••• S••••••• for L•• E••••••••• L•• (registered 2025-03-19)
Jun 10, 2024 · Advisor changed firm · fact
J••••••• D••••• left C•••••••• G••••• M•••••• I••• for A••••• A•• P••••••• S••••••• (registered 2023-05-16)
Jul 29, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address