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.
Feed of 09/14/2026
Also filed as Mike Desmond
At current firm
5 y
since Jun 1, 2021
In the industry
34 y
since Oct 25, 1991 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Procyon mixed wealth currentsince Jun 1, 2021 · Shelton, Ct
- Procyon Institutional Partners, LLC formerJun 1, 2021 to Dec 31, 2021 · Shelton, Ct
- Pivotal Planning Group, LLC formerApr 25, 2016 to Jul 27, 2021 · Melville, Ny
- Raymond James Financial Services Advisors, Inc BD affiliatedMay 28, 2015 to Jan 20, 2016 · Patchogue, Ny
- American Portfolios Advisors, Inc formerJan 14, 2015 to Apr 8, 2015 · Holbrook, Ny
- 1st Worldwide Advisors, LLC. formerOct 14, 2005 to Apr 20, 2006 · Shrewsbury, Nj
Moves
a registration end followed by a registration begin elsewhere
- Procyon Institutional Partners, LLC to Procyonleft Dec 31, 2021, registered Jun 1, 2021 (-213 days) · Other · moved with a team
- Pivotal Planning Group, LLC to Procyon Institutional Partners, LLCleft Jul 27, 2021, registered Jun 1, 2021 (-56 days) · Other · moved with a team
- Raymond James Financial Services Advisors, Inc to Pivotal Planning Group, LLCleft Jan 20, 2016, registered Apr 25, 2016 (96 days) · Other
- American Portfolios Advisors, Inc to Raymond James Financial Services Advisors, Incleft Apr 8, 2015, registered May 28, 2015 (50 days) · Other
- 1st Worldwide Advisors, LLC. to American Portfolios Advisors, Incleft Apr 20, 2006, registered Jan 14, 2015 (3191 days) · Other
Signals
No dated event on this person.
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address