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

D•••••• C•••••

M•• I•••••••• S•••••••• L••BD affiliatedElmsford, Nydual registrantIAPD 7492148

Feed of 09/14/2026

Also filed as D•••••• A C•••••

At current firm

0 y

since Aug 19, 2026

In the industry

10 y

since Feb 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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Aug 19, 2026 · Elmsford, Ny
W•••• F•••• A••••••• wirehouse
Jun 5, 2025 to Jan 23, 2026 · St. Louis, Mo
L•• F•••••••• L•• BD affiliated
Oct 6, 2023 to Jun 9, 2025 · White Plains, Ny
J••• M••••• S••••••••• L•• wirehouse
Mar 14, 2023 to Oct 21, 2023 · Scarsdale, Ny
V••••••• A•••••••• I••• BD affiliated
Jun 13, 2022 to Oct 25, 2022 · Malvern, Pa

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••
left Jan 23, 2026, registered Aug 19, 2026 (208 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Jun 9, 2025, registered Jun 5, 2025 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left Oct 21, 2023, registered Oct 6, 2023 (-15 days) · Wirehouse to affiliated broker-dealer or bank
V••••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Oct 25, 2022, registered Mar 14, 2023 (140 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

D•••••• C••••• left W•••• F•••• A••••••• for M•• I•••••••• S•••••••• L•• (registered 2026-08-19)
Jan 23, 2026 · Advisor changed firm · fact
D•••••• C••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-06-05)
Jun 9, 2025 · Advisor changed firm · fact
D•••••• C••••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-10-06)
Oct 21, 2023 · Advisor changed firm · fact
D•••••• C••••• left V••••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-03-14)
Oct 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