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.
Registered advisor
Carol Ann Mulcahy
Feed of 09/14/2026
At current firm
6 y
since May 13, 2020
In the industry
35 y
since Nov 26, 1990 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Destiny Wealth Partners, LLC independent RIA currentsince May 13, 2020 · Tavares, Fl
- Ruggie Wealth Management formerMay 2, 2019 to Jan 7, 2021 · Tavares, Fl
- Cwm, LLC BD affiliatedMay 2, 2019 to Jul 1, 2020 · Tavares, Fl
- The Investment Counsel Company independent RIAJul 23, 2014 to Dec 8, 2017 · Las Vegas, Nv
- Barclays Capital Inc. formerOct 4, 2010 to Oct 11, 2012 · Palm Beach, Fl
- Chase Investment Services Corp. formerMar 16, 2010 to Sep 30, 2010 · Royal Palm Beach, Fl
- Cumberland Advisors independent RIAJun 21, 2006 to Jan 16, 2009 · Sarasota, Fl
- Independent Portfolio Consultants, Inc. formerOct 1, 2004 to May 23, 2006 · Boca Raton, Fl
- Advest, Inc. unclassifiedMay 21, 2004 to Mar 6, 2006 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- Ruggie Wealth Management to Destiny Wealth Partners, LLCleft Jan 7, 2021, registered May 13, 2020 (-239 days) · RIA to RIA · moved with a team
- Cwm, LLC to Ruggie Wealth Managementleft Jul 1, 2020, registered May 2, 2019 (-426 days) · Affiliated broker-dealer or bank to independent RIA
- The Investment Counsel Company to Cwm, LLCleft Dec 8, 2017, registered May 2, 2019 (510 days) · Other
- Barclays Capital Inc. to The Investment Counsel Companyleft Oct 11, 2012, registered Jul 23, 2014 (650 days) · Other
- Chase Investment Services Corp. to Barclays Capital Inc.left Sep 30, 2010, registered Oct 4, 2010 (4 days) · Other
- Cumberland Advisors to Chase Investment Services Corp.left Jan 16, 2009, registered Mar 16, 2010 (424 days) · Other
- Independent Portfolio Consultants, Inc. to Cumberland Advisorsleft May 23, 2006, registered Jun 21, 2006 (29 days) · Other
- Advest, Inc. to Independent Portfolio Consultants, Inc.left Mar 6, 2006, registered Oct 1, 2004 (-521 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address