DFX Intelligence

C•••• R••••• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

C•••• R••••• O••••

Advisor at T••••• A••••••• S•••••••• I•••

WINDERMERE, FL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 20, 2008 to Sep 14, 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 18, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Oct 7, 2025	n/a	yes	WINDERMERE, FL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 27, 2011	Oct 2, 2025	no	CLERMONT, FL\|ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL\|OCOEE, FL\|JACKSONVILLE, FL\|OCOEE, FL\|CLERMONT, FL\|ORLANDO, FL\|OCOEE, FL\|CLERMONT, FL\|WINDERMERE, FL\|ORLANDO, FL\|APOPKA, FL\|WINDERMERE, FL\|CLERMONT, FL\|WINDERMERE, FL\|CLERMONT, FL\|MOUNT DORA, FL\|MAITLAND, FL\|ORLANDO, FL\|ORLANDO, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	T••••• A••••••• S•••••••• I•••	Oct 2, 2025	Oct 7, 2025	5	Firm change	Wirehouse to ibd
C•••• I••••••••• S••••••• C••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 5, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:283390:FL:2025-09-22	Oct 2, 2025	Oct 7, 2025	ORLANDO, FL	Firm change

Relationships

Registered with (5)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Oct 7, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 27, 2011 to Oct 2, 2025factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Dec 13, 2010 to Oct 5, 2011factForm ADV
→ M••••• K••••• • C••••••• L••

Dated events

Order

Occurred
2 Oct 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 20, 2008
Last observed: Sep 14, 2026 10 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.