DFX Intelligence

R•••••• S• D••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

R•••••• S• D••••••••

Advisor at C••••••••• I••••••••• A•••••••• L••

TAMPA, FL | Mandeville, LA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4c476bee-7cb8-c154-f1ae-5aad6e9a233b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 2, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••••••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• I••••••••• A•••••••• L••	Independent wealth	Jan 9, 2023	n/a	yes	Mandeville, LA\|TAMPA, FL	Current employment
B••••••• F• E•••••• • C••••••• I•••••••••	Bd affiliated wealth	Oct 14, 2016	Jan 11, 2023	no	ST. LOUIS, MO\|MANDEVILLE, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• F• E•••••• • C••••••• I•••••••••	C••••••••• I••••••••• A•••••••• L••	Jan 11, 2023	Jan 9, 2023	-2	Firm change	Ibd to new firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	B••••••• F• E•••••• • C••••••• I•••••••••	Oct 17, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
146936:323135:LA:2023-01-11	Jan 11, 2023	Jan 9, 2023	MANDEVILLE, LA	Firm change
7691:146936:LA:2016-10-17	Oct 17, 2016	Oct 14, 2016	METAIRIE, LA	Firm change

Relationships

Registered with (3)

→ C••••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 9, 2023 to presentfactForm ADV
→ B••••••• F• E•••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Oct 14, 2016 to Jan 11, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 2, 2005 to Oct 17, 2016factForm ADV

Dated events

Occurred
Jan 11, 2023
Advisor changed firm
R•••••• S• D•••••••• left B••••••• F• E•••••• • C••••••• I••••••••• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-01-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c476bee-7cb8-c154-f1ae-5aad6e9a233b
First observed: Mar 2, 2005
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.