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••••• B••••••• S•••••

M•• I•••••••• S•••••••• L••BD affiliatedDelray Beach, Fl dual registrantIAPD 2605884

Feed of 09/15/2026

At current firm

0 y

since Jan 12, 2026

In the industry

30 y

since Sep 29, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jan 12, 2026 · Boca Raton, Fl
C•••••• S••••• • C••• I••• national BD
Jun 6, 2011 to Jul 11, 2025 · West Palm Beach, Fl
U•••• F•••••••• S••••••• G••••• I••• unclassified
Aug 22, 2006 to Sep 13, 2006 · Ft. Lauderdale, Fl
W•••• F•••• A••••••• wirehouse
Feb 19, 2003 to Mar 14, 2005 · North Miami Beach, Fl
B•• M••••• S••••••••• C••••••••• other
Nov 29, 2001 to Jan 10, 2003 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M•• I•••••••• S•••••••• L••
left Jul 11, 2025, registered Jan 12, 2026 (185 days) · Affiliated broker-dealer or bank to another
U•••• F•••••••• S••••••• G••••• I••• to C•••••• S••••• • C••• I•••
left Sep 13, 2006, registered Jun 6, 2011 (1727 days) · Other
W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••
left Mar 14, 2005, registered Aug 22, 2006 (526 days) · Other
B•• M••••• S••••••••• C••••••••• to W•••• F•••• A•••••••
left Jan 10, 2003, registered Feb 19, 2003 (40 days) · Other

Signals

D••••• B••••••• S••••• left C•••••• S••••• • C••• I••• for M•• I•••••••• S•••••••• L•• (registered 2026-01-12)
Jul 11, 2025 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address