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

N••••••• L••••

S•••••••• A••••••• L••national BDManchester Township, Njdual registrantIAPD 7065825

Feed of 09/14/2026

Also filed as N••••••• L••••

At current firm

0 y

since Jun 8, 2026

In the industry

13 y

since Jan 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Jun 8, 2026 · Manchester Township, Nj
C• C•••••• P••••••• state registered
Apr 28, 2025 to Apr 17, 2026 · Manchester, Nj
G••••• G••••• H••• • C•• L•• independent RIA
Oct 11, 2022 to May 3, 2023 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 10, 2019 to Dec 15, 2021 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C• C•••••• P••••••• to S•••••••• A••••••• L••
left Apr 17, 2026, registered Jun 8, 2026 (52 days) · Other
G••••• G••••• H••• • C•• L•• to C• C•••••• P•••••••
left May 3, 2023, registered Apr 28, 2025 (726 days) · RIA to a state-registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••• G••••• H••• • C•• L••
left Dec 15, 2021, registered Oct 11, 2022 (300 days) · Wirehouse to independent RIA

Signals

N••••••• L•••• left C• C•••••• P••••••• for S•••••••• A••••••• L•• (registered 2026-06-08)
Apr 17, 2026 · Advisor changed firm · fact
N••••••• L•••• left G••••• G••••• H••• • C•• L•• for C• C•••••• P••••••• (registered 2025-04-28)
May 3, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address