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

K••••••• S•••••

T• P•••••• C••••• W••••• L••BD affiliatedRamsey, Njdual registrantIAPD 7168485

Feed of 09/14/2026

At current firm

1 y

since Jul 9, 2025

In the industry

10 y

since Sep 1, 2016 (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

T• P•••••• C••••• W••••• L•• BD affiliated current
since Jul 9, 2025 · Ramsey, Nj
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 14, 2024 to Jan 6, 2025 · Patchogue, Ny
J••• M••••• S••••••••• L•• wirehouse
Sep 4, 2024 to Nov 8, 2024 · New York, Ny
A•••• W••••• A•••••••• L•• BD affiliated
Oct 26, 2022 to Jan 30, 2023 · New York, Ny
A•••• W••••• A•••••••• L•• BD affiliated
Nov 29, 2021 to Mar 15, 2022 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 4, 2020 to Sep 29, 2021 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to T• P•••••• C••••• W••••• L••
left Jan 6, 2025, registered Jul 9, 2025 (184 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Nov 8, 2024, registered Nov 14, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
A•••• W••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Jan 30, 2023, registered Sep 4, 2024 (583 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••• W••••• A•••••••• L••
left Sep 29, 2021, registered Nov 29, 2021 (61 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K••••••• S••••• left A••••••••• F•••••••• S•••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2025-07-09)
Jan 6, 2025 · Advisor changed firm · fact
K••••••• S••••• left J••• M••••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-11-14)
Nov 8, 2024 · Advisor changed firm · fact
K••••••• S••••• left A•••• W••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-09-04)
Jan 30, 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