DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as C••••• D•••• C••••••••• C••••• R••••••••• C• R•••••
At current firm
0 y
since Jan 16, 2026
In the industry
30 y
since Jul 30, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jan 16, 2026 · Orlando, Fl
- U•• F•••••••• S••••••• I••• wirehouseJun 10, 2009 to Jan 27, 2026 · Winter Park, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 21, 2008 to May 20, 2009 · Orlando, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 25, 2006 to Jun 22, 2006 · West Palm Beach, Fl
- U•• I••••••••• I••• unclassifiedJun 6, 2002 to May 26, 2006 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jan 27, 2026, registered Jan 16, 2026 (-11 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left May 20, 2009, registered Jun 10, 2009 (21 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 22, 2006, registered Oct 21, 2008 (852 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left May 26, 2006, registered May 25, 2006 (-1 days) · Other
Signals
- ••• LockedJan 27, 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address