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•••••• R•••••• S•••••••

L•• F•••••••• L••BD affiliatedPalm Harbor, Fldual registrantIAPD 2172840

Feed of 09/14/2026

Also filed as M•••••• R S•••••••

At current firm

2 y

since Jul 10, 2024

In the industry

35 y

since Sep 19, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 10, 2024 · Palm Harbor, Fl
A••••••• W••••• M••••••••• I••• independent RIA
Jan 11, 2010 to Jul 11, 2024 · Palm Harbor, Fl
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Oct 27, 2003 to Apr 22, 2009 · Palm Harbor, Fl
U•• F•••••••• S••••••• I••• wirehouse
Sep 19, 1991 to Aug 13, 2003 · Clearwater, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••• W••••• M••••••••• I••• to L•• F•••••••• L••
left Jul 11, 2024, registered Jul 10, 2024 (-1 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• F•••••••• S•••••••• I••• to A••••••• W••••• M••••••••• I•••
left Apr 22, 2009, registered Jan 11, 2010 (264 days) · Other
U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Aug 13, 2003, registered Oct 27, 2003 (75 days) · Other

Signals

M•••••• R•••••• S••••••• left A••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2024-07-10)
Jul 11, 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