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

D•••• H•••••• A••••

F•••••• F•••••••• A•••••••• L••BD affiliatedTampa, FlIA-onlyIAPD 2312702

Feed of 09/14/2026

At current firm

2 y

since Aug 7, 2024

In the industry

33 y

since Jan 1, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••••• F•••••••• A•••••••• L•• BD affiliated current
since Aug 7, 2024 · Tampa, Fl
C•••••• G•••• • C• I•• former
Dec 13, 2022 to Jan 4, 2024 · Syracuse, Ny
C•••••• G•••• • C• I•• former
Dec 10, 2020 to Dec 11, 2020 · Wellesley, Ma
S•••••• W••••• P•••••••• L•• BD affiliated
Dec 1, 2016 to Dec 10, 2020 · Wellesley, Ma
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 23, 2008 to Nov 25, 2016 · Wellesley, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to F•••••• F•••••••• A•••••••• L••
left Jan 4, 2024, registered Aug 7, 2024 (216 days) · Affiliated broker-dealer or bank to another
S•••••• W••••• P•••••••• L•• to C•••••• G•••• • C• I••
left Dec 10, 2020, registered Dec 10, 2020 (0 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to S•••••• W••••• P•••••••• L••
left Nov 25, 2016, registered Dec 1, 2016 (6 days) · Other · moved with a team

Signals

David Hopkins Allen left Cadaret Grant & Co Inc for Florida Financial Advisors, Llc (registered 2024-08-07)
Jan 4, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address