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

C••••• F• S•••••

P•••••••• S••••••••• I•••BD affiliatedMiami, Fldual registrantIAPD 2224345

Feed of 09/14/2026

Also filed as C••••• Francisco S•••••

At current firm

2 y

since Sep 10, 2024

In the industry

32 y

since Jul 25, 1994 (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

P•••••••• S••••••••• I••• BD affiliated current
since Sep 10, 2024 · Miami, Fl
H•••••• T••••••• • K•••• L•• independent RIA
Feb 24, 2020 to Sep 3, 2024 · Miami, Fl
P••• A••••• S••••••••• L•• BD affiliated
Dec 6, 2018 to May 17, 2019 · Miami, Fl
S•••••••• F••••••••• I••• former
May 15, 2013 to May 29, 2015 · Scottsdale, Az
N•• E•••••• S••••••••• C••••••••• former
Jun 21, 2005 to Jan 22, 2013 · Coral Gables, Fl
E•• F•••••••• A••••••• independent RIA
Apr 14, 1999 to Oct 18, 2004 · Coral Gables, Fl

Moves

a registration end followed by a registration begin elsewhere

H•••••• T••••••• • K•••• L•• to P•••••••• S••••••••• I•••
left Sep 3, 2024, registered Sep 10, 2024 (7 days) · Affiliated broker-dealer or bank to another
P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••
left May 17, 2019, registered Feb 24, 2020 (283 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to P••• A••••• S••••••••• L••
left May 29, 2015, registered Dec 6, 2018 (1287 days) · Other
N•• E•••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••
left Jan 22, 2013, registered May 15, 2013 (113 days) · Other
E•• F•••••••• A••••••• to N•• E•••••• S••••••••• C•••••••••
left Oct 18, 2004, registered Jun 21, 2005 (246 days) · Other

Signals

C••••• F• S••••• left H•••••• T••••••• • K•••• L•• for P•••••••• S••••••••• I••• (registered 2024-09-10)
Sep 3, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address