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

E••• C•••••• A••••••••

F•••• C••••••• I••••••• S•••••••• I•••BD affiliatedFt Lauderdale, Fl dual registrantIAPD 2565246

Feed of 09/14/2026

At current firm

1 y

since Feb 3, 2025

In the industry

26 y

since Oct 28, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• C••••••• I••••••• S•••••••• I••• BD affiliated current
since Feb 3, 2025 · Ft Lauderdale, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
May 27, 2021 to Sep 10, 2024 · Miami, Fl
S••••••• I••••••••• S•••••••• I••• former
May 16, 2012 to Jun 13, 2013 · Key Biscayne, Fl
C•••• I••••••••• S••••••• C•••• former
Oct 28, 2009 to May 11, 2012 · Miami, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 25, 2007 to Mar 13, 2009 · Miami, Fl
M•• I•••••••• S•••••••• L•• BD affiliated
Jan 31, 2007 to Apr 16, 2007 · Miami, Fl
W•••• F•••• A••••••• wirehouse
Oct 1, 2000 to Feb 7, 2005 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••
left Sep 10, 2024, registered Feb 3, 2025 (146 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Jun 13, 2013, registered May 27, 2021 (2905 days) · Other
C•••• I••••••••• S••••••• C•••• to S••••••• I••••••••• S•••••••• I•••
left May 11, 2012, registered May 16, 2012 (5 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Mar 13, 2009, registered Oct 28, 2009 (229 days) · Other
M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 16, 2007, registered May 25, 2007 (39 days) · Other
W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••
left Feb 7, 2005, registered Jan 31, 2007 (723 days) · Other

Signals

E••• C•••••• A•••••••• left T••••• A••••••• S•••••••• I••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2025-02-03)
Sep 10, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address