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

R•••• S•••••• A•••••••

C••• L••BD affiliatedNew Smyrna, Fl IA-onlyIAPD 1587934

Feed of 09/15/2026

At current firm

0 y

since Jan 26, 2026

In the industry

40 y

since Apr 1, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• L•• BD affiliated current
since Jan 26, 2026 · Omaha, Ne
O•••• A••••••• S•••••••• L•• BD affiliated
Nov 8, 2024 to Jan 26, 2026 · Atlanta, Ga
A•••• P•••• A••••••• former
May 20, 2019 to Nov 8, 2024 · Omaha, Ne
W••••••••• P••••••• former
Sep 27, 2016 to May 16, 2019 · Omaha, Ne
S••••• F•••••••• G•••• I•• former
Sep 1, 2016 to Sep 26, 2016 · Boca Raton, Fl
V•• A••••••• S••••••• former
Jan 21, 2011 to Sep 2, 2016 · Omaha, Ne
N•• E•••••• S••••••••• C••••••••• former
Aug 12, 2005 to Jan 21, 2011 · Overland Park, Ks
C••••• A••••••• L•• former
Dec 15, 2004 to Mar 16, 2005 · Omaha, Ne
F•••••••• S••••••••• I••• unclassified
Mar 6, 1997 to Jul 22, 2005 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to C••• L••
left Jan 26, 2026, registered Jan 26, 2026 (0 days) · Affiliated broker-dealer or bank to another
A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••
left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
W••••••••• P••••••• to A•••• P•••• A•••••••
left May 16, 2019, registered May 20, 2019 (4 days) · RIA to affiliated broker-dealer or bank
S••••• F•••••••• G•••• I•• to W••••••••• P•••••••
left Sep 26, 2016, registered Sep 27, 2016 (1 days) · Other · moved with a team
V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••
left Sep 2, 2016, registered Sep 1, 2016 (-1 days) · corporate re-registration, not a move
N•• E•••••• S••••••••• C••••••••• to V•• A••••••• S•••••••
left Jan 21, 2011, registered Jan 21, 2011 (0 days) · Other
F•••••••• S••••••••• I••• to C••••• A••••••• L••
left Jul 22, 2005, registered Dec 15, 2004 (-219 days) · Other
C••••• A••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Mar 16, 2005, registered Aug 12, 2005 (149 days) · Other

Signals

R•••• S•••••• A••••••• left O•••• A••••••• S•••••••• L•• for C••• L•• (registered 2026-01-26)
Jan 26, 2026 · 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address