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•••••• S•••••••

A•••• C•••••• C••••BD affiliatedBoca Raton, Fl dual registrantIAPD 1949867

Feed of 09/14/2026

At current firm

1 y

since Nov 6, 2024

In the industry

35 y

since Jul 29, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••• C•••••• C•••• BD affiliated current
since Nov 6, 2024 · Port St. Lucie, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 22, 2019 to Nov 19, 2024 · Boca Raton, Fl
O••••••••• • C•• I••• BD affiliated
Apr 9, 2018 to Dec 2, 2019 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to May 24, 2005 · Boca Raton, Fl
P••••••••• E••••• G••••• L•• unclassified
Jul 24, 2000 to Jul 1, 2003 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to A•••• C•••••• C••••
left Nov 19, 2024, registered Nov 6, 2024 (-13 days) · Affiliated broker-dealer or bank to another
O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••
left Dec 2, 2019, registered Nov 22, 2019 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to O••••••••• • C•• I•••
left May 24, 2005, registered Apr 9, 2018 (4703 days) · Wirehouse to affiliated broker-dealer or bank
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

M•••••• S••••••• left A••••••••• F•••••••• S•••••••• L•• for A•••• C•••••• C•••• (registered 2024-11-06)
Nov 19, 2024 · 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address