DFX Intelligence
RIA Intelligence
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Registered advisor
R•••• L•••• S••••
Feed of 09/14/2026
At current firm
5 y
since Feb 17, 2021
In the industry
40 y
since Jan 24, 1986 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Fort Lauderdale, Fl
- B••• S••••••••• L•• formerNov 28, 2017 to Feb 17, 2021 · Ft Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseJun 11, 2007 to Dec 5, 2017 · Fort Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 3, 2004 to Jun 18, 2007 · Fort Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• S••••••••• L••left Dec 5, 2017, registered Nov 28, 2017 (-7 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jun 18, 2007, registered Jun 11, 2007 (-7 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address