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

T••••• S••••

O•••• W•••••• I•••BD affiliatedPittsford, Nydual registrantIAPD 7603767

Feed of 09/14/2026

At current firm

1 y

since Feb 20, 2025

In the industry

10 y

since Dec 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Feb 20, 2025 · Pittsford, Ny
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 22, 2024 to Feb 25, 2025 · Rochester, Ny
R•• A•••••••• L•• independent RIA
Jul 25, 2023 to Jan 11, 2024 · Pittsford, Ny
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Sep 15, 2022 to Jun 15, 2023 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to O•••• W•••••• I•••
left Feb 25, 2025, registered Feb 20, 2025 (-5 days) · Affiliated broker-dealer or bank to another
R•• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 11, 2024, registered Jan 22, 2024 (11 days) · RIA to affiliated broker-dealer or bank
C•••••••• I••••••••• R••••••• A•••••••• I••• to R•• A•••••••• L••
left Jun 15, 2023, registered Jul 25, 2023 (40 days) · Affiliated broker-dealer or bank to independent RIA

Signals

T••••• S•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for O•••• W•••••• I••• (registered 2025-02-20)
Feb 25, 2025 · Advisor changed firm · fact
T••••• S•••• left R•• A•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-01-22)
Jan 11, 2024 · Advisor changed firm · fact
T••••• S•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for R•• A•••••••• L•• (registered 2023-07-25)
Jun 15, 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