DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••• S• M•••••
Feed of 09/14/2026
Also filed as R•••• S• M•••••
At current firm
7 y
since May 28, 2019
In the industry
33 y
since Nov 6, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince May 28, 2019 · Coconut Creek, Fl
- C••• B•••••••• S•••••••• I••• formerJun 25, 2013 to May 24, 2019 · Plantation, Fl
- B••• I••••••••• S•••••••• I••• formerAug 29, 2008 to Oct 9, 2012 · Lauderhill, Fl
- W•••• F•••• A••••••• wirehouseFeb 2, 2007 to Aug 19, 2008 · Hallandale, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2019, registered May 28, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
- B••• I••••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Oct 9, 2012, registered Jun 25, 2013 (259 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Aug 19, 2008, registered Aug 29, 2008 (10 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address