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••••• S•••••••• S••••••

R••••••••• C•••••• M•••••••••BD affiliatedFernandina Beach, Fl dual registrantIAPD 1230244

Certified Financial Planner

Feed of 09/15/2026

Also filed as S••••• S S••••••

At current firm

2 y

since Nov 13, 2023

In the industry

42 y

since Feb 10, 1984 (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

R••••••••• C•••••• M••••••••• BD affiliated current
since Nov 13, 2023 · Florham Park, Nj
J••••• M••••••••• S•••• L•• BD affiliated
Aug 19, 2009 to Oct 9, 2023 · Washington, Dc
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 16, 2009 · Washington, Dc
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 21, 2006 to Jun 1, 2009 · Washington, Dc
L••• M•••• W••• W•••••• I••••••••• unclassified
Nov 20, 1995 to Feb 21, 2006 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

J••••• M••••••••• S•••• L•• to R••••••••• C•••••• M•••••••••
left Oct 9, 2023, registered Nov 13, 2023 (35 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to J••••• M••••••••• S•••• L••
left Sep 16, 2009, registered Aug 19, 2009 (-28 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

Signals

S••••• S•••••••• S•••••• left J••••• M••••••••• S•••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-11-13)
Oct 9, 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address