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

R••• R• C••••

W•••• F•••• A•••••••wirehousePalm Beach Gardens, Fl dual registrantIAPD 2460419

Feed of 09/15/2026

Also filed as R••• C••••

At current firm

2 y

since Feb 23, 2024

In the industry

32 y

since Apr 4, 1994 (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

W•••• F•••• A••••••• wirehouse current
since Feb 23, 2024 · Boca Raton, Fl
J••••• M••••••••• S•••• L•• BD affiliated
Dec 1, 2016 to Feb 23, 2024 · Bedminster, Nj
W•••• F•••• A••••••• wirehouse
Jun 2, 2009 to Dec 7, 2016 · Short Hills, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Jun 4, 2009 · New York, Ny
C••••••• I••••••••• S••••••• unclassified
Sep 23, 2004 to May 29, 2007 · New York, Ny
B•• M••••• S••••••••• C••••••••• other
Oct 2, 2002 to Oct 14, 2003 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••
left Feb 23, 2024, registered Feb 23, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••
left Dec 7, 2016, registered Dec 1, 2016 (-6 days) · Other
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Jun 4, 2009, registered Jun 2, 2009 (-2 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
B•• M••••• S••••••••• C••••••••• to C••••••• I••••••••• S•••••••
left Oct 14, 2003, registered Sep 23, 2004 (345 days) · Other

Signals

R••• R• C•••• left J••••• M••••••••• S•••• L•• for W•••• F•••• A••••••• (registered 2024-02-23)
Feb 23, 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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address