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

A•••••• J••••• F••••••

L•• F•••••••• L••BD affiliatedNiagara Falls, Ny dual registrantIAPD 6894499

Feed of 09/15/2026

Also filed as A•••••• F••••••

At current firm

0 y

since Jun 11, 2026

In the industry

10 y

since Jan 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 11, 2026 · Buffalo, Ny
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 5, 2023 to May 26, 2026 · Amherst, Ny
S••••••••• A•••••• A•••••••• I••• former
Jan 27, 2022 to May 22, 2023 · Amherst, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 2, 2020 to Jan 25, 2022 · New York, Ny
C••••••• S••••••••• I••• BD affiliated
Aug 27, 2018 to Aug 10, 2020 · Amherst, Ny

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••
left May 26, 2026, registered Jun 11, 2026 (16 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••
left May 22, 2023, registered Jul 5, 2023 (44 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• A•••••• A•••••••• I•••
left Jan 25, 2022, registered Jan 27, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 10, 2020, registered Oct 2, 2020 (53 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A•••••• J••••• F•••••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-06-11)
May 26, 2026 · Advisor changed firm · fact
A•••••• J••••• F•••••• left S••••••••• A•••••• A•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2023-07-05)
May 22, 2023 · Advisor changed firm · fact
A•••••• J••••• F•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S••••••••• A•••••• A•••••••• I••• (registered 2022-01-27)
Jan 25, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address