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

M•••••• A•••••• S•••••

I••••••••• A••••• I••••••••• M••••••••• L••BD affiliatedClermont, Fl dual registrantIAPD 1504058

Feed of 09/15/2026

At current firm

3 y

since Jul 5, 2023

In the industry

39 y

since Feb 11, 1987 (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

I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated current
since Jul 5, 2023 · Clermont, Fl
M•••• • C••••• I•• BD affiliated
Feb 21, 2019 to Jun 26, 2023 · Maitland, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 4, 2018 to Sep 11, 2018 · Clermont, Fl
W•••• F•••• A••••••• wirehouse
Apr 18, 2006 to Mar 21, 2018 · Clermont, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 3, 1999 to Mar 30, 2006 · Winter Park, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••• • C••••• I•• to I••••••••• A••••• I••••••••• M••••••••• L••
left Jun 26, 2023, registered Jul 5, 2023 (9 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to M•••• • C••••• I••
left Sep 11, 2018, registered Feb 21, 2019 (163 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Mar 21, 2018, registered Apr 4, 2018 (14 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Mar 30, 2006, registered Apr 18, 2006 (19 days) · Wirehouse to wirehouse

Signals

M•••••• A•••••• S••••• left M•••• • C••••• I•• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2023-07-05)
Jun 26, 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address