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

C••••••••• S•••• S••••••

P••• A••••• S••••••••• L••BD affiliatedBonita Springs, Fl dual registrantIAPD 2598101

Feed of 09/14/2026

Also filed as C••••••••• S•••• S••••••

At current firm

0 y

since Jan 2, 2026

In the industry

31 y

since May 23, 1995 (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

P••• A••••• S••••••••• L•• BD affiliated current
since Jan 2, 2026 · Bonita Springs, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 22, 2024 to Mar 19, 2025 · Naples, Fl
F•••• F••••••••• A••••••• independent RIA
May 18, 2022 to Jun 26, 2023 · Naples, Fl
L•• F•••••••• L•• BD affiliated
Nov 6, 2019 to Apr 25, 2022 · Naples, Fl
F•••• T•••• S••••••••• I••• BD affiliated
Jun 13, 2016 to Apr 13, 2018 · Naples, Fl
W•••• F•••• A••••••• wirehouse
Aug 5, 2014 to Apr 29, 2016 · Fort Myers, Fl
P••• A••••• S••••••••• L•• BD affiliated
Jun 25, 2014 to Aug 8, 2014 · Naples, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 2, 2000 to Nov 21, 2013 · Naples, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••
left Mar 19, 2025, registered Jan 2, 2026 (289 days) · Affiliated broker-dealer or bank to another
F•••• F••••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 26, 2023, registered Mar 22, 2024 (270 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to F•••• F••••••••• A•••••••
left Apr 25, 2022, registered May 18, 2022 (23 days) · RIA to RIA
F•••• T•••• S••••••••• I••• to L•• F•••••••• L••
left Apr 13, 2018, registered Nov 6, 2019 (572 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••
left Apr 29, 2016, registered Jun 13, 2016 (45 days) · Other
P••• A••••• S••••••••• L•• to W•••• F•••• A•••••••
left Aug 8, 2014, registered Aug 5, 2014 (-3 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• A••••• S••••••••• L••
left Nov 21, 2013, registered Jun 25, 2014 (216 days) · Other

Signals

C••••••••• S•••• S•••••• left A••••••••• F•••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2026-01-02)
Mar 19, 2025 · Advisor changed firm · fact
C••••••••• S•••• S•••••• left F•••• F••••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-22)
Jun 26, 2023 · Advisor changed firm · fact
C••••••••• S•••• S•••••• left L•• F•••••••• L•• for F•••• F••••••••• A••••••• (registered 2022-05-18)
Apr 25, 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address