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

C••••• A•• S•••••

M•••••• I•••••••••i••••••••• wealthTampa, FlIA-onlyIAPD 1760545

Feed of 09/14/2026

Also filed as C••••• A S•••••

At current firm

1 y

since Dec 2, 2024

In the industry

38 y

since Jan 11, 1988 (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

M•••••• I••••••••• i••••••••• wealth current
since Dec 2, 2024 · Tampa, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 1, 2021 to Jul 3, 2023 · Allen, Tx
L•• F•••••••• L•• BD affiliated
Feb 26, 2007 to Dec 3, 2021 · Rockwall, Tx
L•• F•••••••• L•• BD affiliated
Aug 27, 2004 to Jan 4, 2007 · San Diego, Ca
D••••• i••••••••• wealth
Apr 4, 2003 to Aug 10, 2004 · San Diego, Ca
N••••••••• C•••••• M••••••••• L•• unclassified
Mar 2, 1999 to Oct 28, 2002 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to M•••••• I•••••••••
left Jul 3, 2023, registered Dec 2, 2024 (518 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Dec 3, 2021, registered Dec 1, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
D••••• to L•• F•••••••• L••
left Aug 10, 2004, registered Aug 27, 2004 (17 days) · Other
N••••••••• C•••••• M••••••••• L•• to D•••••
left Oct 28, 2002, registered Apr 4, 2003 (158 days) · Other

Signals

C••••• A•• S••••• left A••••••••• F•••••••• S•••••••• L•• for M•••••• I••••••••• (registered 2024-12-02)
Jul 3, 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: I••••••••• WEALTHderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address