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.

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Registered advisor

S••• L••••••• H•••••

C••••••independent RIAWeston, FlIA-onlyIAPD 1312071

Feed of 09/14/2026

At current firm

2 y

since Aug 16, 2024

In the industry

40 y

since Sep 16, 1986 (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

C•••••• independent RIA current
since Aug 16, 2024 · Weston, Fl
E•••• L•• former
Nov 2, 2017 to Aug 31, 2024 · Weston, Fl
E•••••• A•••• A••••••• L•• former
May 11, 2007 to Jul 5, 2019 · Weston, Fl
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 2, 2006 to Sep 25, 2008 · Weston, Fl
L••••••• F•••••••• S•••••••• I••• unclassified
Oct 30, 2000 to May 8, 2003 · Weston, Fl

Moves

a registration end followed by a registration begin elsewhere

E•••• L•• to C••••••
left Aug 31, 2024, registered Aug 16, 2024 (-15 days) · RIA to RIA · moved with a team
E•••••• A•••• A••••••• L•• to E•••• L••
left Jul 5, 2019, registered Nov 2, 2017 (-610 days) · Other
M•• I•••••••• S•••••••• L•• to E•••••• A•••• A••••••• L••
left Sep 25, 2008, registered May 11, 2007 (-503 days) · Other
L••••••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left May 8, 2003, registered Mar 2, 2006 (1029 days) · Other

Signals

S••• L••••••• H••••• left E•••• L•• for Corient (registered 2024-08-16)
Aug 31, 2024 · 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address