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.

Registered advisor

Richard Brian Dorfman

Nfsg CorporationBD affiliatedBoca Raton, Fldual registrantIAPD 2472079

Feed of 09/14/2026

Also filed as Richard Brian Dorfman

At current firm

0 y

since Aug 13, 2026

In the industry

16 y

since Aug 10, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Nfsg Corporation BD affiliated current
since Aug 13, 2026 · Boca Raton, Fl
Money Concepts Advisory Service BD affiliated
Jun 26, 2024 to Jan 28, 2026 · Palm Beach Gardens, Fl
Kovack Advisors, Inc. BD affiliated
Dec 6, 2023 to Jan 11, 2024 · Fort Lauderdale, Fl
Fidelity Personal And Workplace Advisors former
Feb 27, 2023 to Aug 3, 2023 · Delray Beach, Fl
Cetera Advisor Networks LLC former
Aug 20, 2021 to Dec 6, 2022 · Boca Raton, Fl
Pnc Wealth Management BD affiliated
May 21, 2013 to Aug 13, 2013 · Boynton Beach, Fl
Td Ameritrade Investment Management, LLC former
Nov 21, 2011 to Mar 20, 2013 · Ponte Vedra Beach, Fl
Td Ameritrade, Inc. former
Oct 25, 2011 to Mar 20, 2013 · Jacksonville, Fl
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 10, 2010 to Jan 3, 2011 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

Money Concepts Advisory Service to Nfsg Corporation
left Jan 28, 2026, registered Aug 13, 2026 (197 days) · Affiliated broker-dealer or bank to another
Kovack Advisors, Inc. to Money Concepts Advisory Service
left Jan 11, 2024, registered Jun 26, 2024 (167 days) · Affiliated broker-dealer or bank to another
Fidelity Personal And Workplace Advisors to Kovack Advisors, Inc.
left Aug 3, 2023, registered Dec 6, 2023 (125 days) · Affiliated broker-dealer or bank to another
Cetera Advisor Networks LLC to Fidelity Personal And Workplace Advisors
left Dec 6, 2022, registered Feb 27, 2023 (83 days) · Affiliated broker-dealer or bank to another
Pnc Wealth Management to Cetera Advisor Networks LLC
left Aug 13, 2013, registered Aug 20, 2021 (2929 days) · Other
Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLC
left Mar 20, 2013, registered Nov 21, 2011 (-485 days) · channel change inside one enterprise, not a move
Td Ameritrade Investment Management, LLC to Pnc Wealth Management
left Mar 20, 2013, registered May 21, 2013 (62 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Td Ameritrade, Inc.
left Jan 3, 2011, registered Oct 25, 2011 (295 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

Richard Brian Dorfman left Money Concepts Advisory Service for Nfsg Corporation (registered 2026-08-13)
Jan 28, 2026 · Advisor changed firm · fact
Richard Brian Dorfman left Kovack Advisors, Inc. for Money Concepts Advisory Service (registered 2024-06-26)
Jan 11, 2024 · Advisor changed firm · fact
Richard Brian Dorfman left Fidelity Personal And Workplace Advisors for Kovack Advisors, Inc. (registered 2023-12-06)
Aug 3, 2023 · Advisor changed firm · fact
Richard Brian Dorfman left Cetera Advisor Networks Llc for Fidelity Personal And Workplace Advisors (registered 2023-02-27)
Dec 6, 2022 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address