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

N••••• D•••• D••••

S••••• A••••••• I•••BD affiliatedBirmingham, Al dual registrantIAPD 1363559

Feed of 09/15/2026

At current firm

10 y

since Jun 30, 2016

In the industry

39 y

since Apr 24, 1987 (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

S••••• A••••••• I••• BD affiliated current
since Jun 30, 2016 · St. Petersburg, Fl
S••••• A••• A•••• M••••••••• I••• former
Dec 9, 2011 to Jun 30, 2016 · Birmingham, Al
A••••••• • S••••••••• I••••••••• former
Apr 26, 2010 to Dec 12, 2011 · Tampa, Fl
G•••••••• F••••••••• I•• unclassified
Feb 17, 2005 to Mar 30, 2010 · Tampa, Fl
U•• F•••••••• S••••••• I••• wirehouse
Jun 15, 1992 to Jan 13, 2005 · St Petersburg, Fl

Moves

a registration end followed by a registration begin elsewhere

S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••
left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••
left Dec 12, 2011, registered Dec 9, 2011 (-3 days) · Other
G•••••••• F••••••••• I•• to A••••••• • S••••••••• I•••••••••
left Mar 30, 2010, registered Apr 26, 2010 (27 days) · Other
U•• F•••••••• S••••••• I••• to G•••••••• F••••••••• I••
left Jan 13, 2005, registered Feb 17, 2005 (35 days) · Other

Signals

No dated event on this person.

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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address