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.

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Registered advisor

A••• S••••••

M••••• S••••••wirehouseNew York, Nydual registrantIAPD 7431409

Feed of 09/14/2026

At current firm

0 y

since Sep 8, 2026

In the industry

13 y

since Jul 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

M••••• S•••••• wirehouse current
since Sep 8, 2026 · New York, Ny
W•••• F•••• A••••••• wirehouse
May 1, 2026 to May 18, 2026 · New York, Ny
M••••• S•••••• wirehouse
Jun 29, 2022 to May 5, 2026 · New York, Ny
A•••• C•••••• C•••• BD affiliated
Dec 23, 2021 to Mar 21, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M••••• S••••••
left May 18, 2026, registered Sep 8, 2026 (113 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left May 5, 2026, registered May 1, 2026 (-4 days) · Wirehouse to wirehouse · moved with a team
A•••• C•••••• C•••• to M••••• S••••••
left Mar 21, 2022, registered Jun 29, 2022 (100 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••• S•••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2026-09-08)
May 18, 2026 · Advisor changed firm · fact
A••• S•••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2026-05-01)
May 5, 2026 · Advisor changed firm · fact
A••• S•••••• left A•••• C•••••• C•••• for M••••• S•••••• (registered 2022-06-29)
Mar 21, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address