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
At current firm
8 y
since Jan 8, 2018
In the industry
32 y
since Jun 17, 1994 (earliest exam, job or registration)
Prior registered firms
4
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
- Mutual Advisors, LLC BD affiliated currentsince Jan 8, 2018 · St. Petersburg, Fl
- Platinum Wealth Partners formerMar 3, 2011 to Jan 10, 2018 · Tampa, Fl
- Wells Fargo Advisors wirehouseJun 4, 2007 to Dec 3, 2009 · Tampa, Fl
- Banc Of America Investment Services, Inc. unclassifiedJun 9, 2006 to Jun 4, 2007 · Tampa, Fl
- Citigroup Global Markets Inc. BD affiliatedMar 23, 1999 to Oct 14, 2004 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- Platinum Wealth Partners to Mutual Advisors, LLCleft Jan 10, 2018, registered Jan 8, 2018 (-2 days) · Other · moved with a team
- Wells Fargo Advisors to Platinum Wealth Partnersleft Dec 3, 2009, registered Mar 3, 2011 (455 days) · Other
- Banc Of America Investment Services, Inc. to Wells Fargo Advisorsleft Jun 4, 2007, registered Jun 4, 2007 (0 days) · Other
- Citigroup Global Markets Inc. to Banc Of America Investment Services, Inc.left Oct 14, 2004, registered Jun 9, 2006 (603 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address