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

S•••••• P••• F•••••

R••••• F••••••••• L••independent RIAMelbourne, FlIA-onlyIAPD 1186577

Feed of 09/14/2026

Also filed as Flo F•••••

At current firm

2 y

since Apr 29, 2024

In the industry

42 y

since Oct 13, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R••••• F••••••••• L•• independent RIA current
since Apr 29, 2024 · Melbourne, Fl
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 26, 2018 to Apr 26, 2023 · Fort Lauderdale, Fl
R•••••• J•••• • A••••••••• I••• national BD
Jun 23, 2015 to Aug 31, 2018 · Fort Lauderdale, Fl
M••••• S•••••• wirehouse
Jun 1, 2009 to Jul 9, 2015 · Ft. Lauderdale, Fl
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Ft. Lauderdale, Fl
M••••• S•••••• D• I••• unclassified
Feb 8, 2007 to Apr 2, 2007 · Ft. Lauderdale, Fl
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Apr 17, 2003 to Feb 5, 2007 · Fort Lauderdale, Fl
R•••••• J•••• • A••••••••• I••• national BD
Jan 10, 1994 to Apr 28, 2003 · Ft Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to R••••• F••••••••• L••
left Apr 26, 2023, registered Apr 29, 2024 (369 days) · Affiliated broker-dealer or bank to independent RIA
R•••••• J•••• • A••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Aug 31, 2018, registered Oct 26, 2018 (56 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Jul 9, 2015, registered Jun 23, 2015 (-16 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• D• I•••
left Feb 5, 2007, registered Feb 8, 2007 (3 days) · Other
R•••••• J•••• • A••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Apr 28, 2003, registered Apr 17, 2003 (-11 days) · Other

Signals

S•••••• P••• F••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for R••••• F••••••••• L•• (registered 2024-04-29)
Apr 26, 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: Independent wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address