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••••• J••••• R•••••••••

C••••••• W•••••state registeredBuffalo, NyIA-onlyIAPD 7423927

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••• R•••••••••

At current firm

0 y

since Apr 8, 2026

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

C••••••• W••••• state registered current
since Apr 8, 2026 · Buffalo, Ny
S••••••• I••••••••• C••••••• L•• independent RIA
Dec 15, 2025 to Mar 16, 2026 · Buffalo, Ny
H•••••••• A•••••••• L•• BD affiliated
Sep 30, 2022 to Jan 30, 2025 · Harrisburg, Pa
L•••••• I••••••••• A••••••• I••• former
Aug 11, 2021 to Feb 27, 2024 · Buffalo, Ny

Moves

a registration end followed by a registration begin elsewhere

S••••••• I••••••••• C••••••• L•• to C••••••• W•••••
left Mar 16, 2026, registered Apr 8, 2026 (23 days) · RIA to a state-registered adviser
H•••••••• A•••••••• L•• to S••••••• I••••••••• C••••••• L••
left Jan 30, 2025, registered Dec 15, 2025 (319 days) · Affiliated broker-dealer or bank to independent RIA
L•••••• I••••••••• A••••••• I••• to H•••••••• A•••••••• L••
left Feb 27, 2024, registered Sep 30, 2022 (-515 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

C••••• J••••• R••••••••• left S••••••• I••••••••• C••••••• L•• for C••••••• W••••• (registered 2026-04-08)
Mar 16, 2026 · Advisor changed firm · fact
C••••• J••••• R••••••••• left H•••••••• A•••••••• L•• for S••••••• I••••••••• C••••••• L•• (registered 2025-12-15)
Jan 30, 2025 · Advisor changed firm · fact
C••••• J••••• R••••••••• left L•••••• I••••••••• A••••••• I••• for H•••••••• A•••••••• L•• (registered 2022-09-30)
Feb 27, 2024 · 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: STATE REGISTEREDderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address