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•••••• B•••• S••••

R•••••• J•••• • A••••••••• I•••national BDWinter Garden, Fl dual registrantIAPD 2658251

Feed of 09/15/2026

Also filed as C. B•••• S••••

At current firm

2 y

since Nov 9, 2023

In the industry

21 y

since Dec 4, 2004 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Nov 9, 2023 · Winter Garden, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 6, 2019 to Nov 14, 2023 · Orlando, Fl
M••••• S•••••• wirehouse
Apr 18, 2012 to Dec 9, 2019 · Waltham, Ma
S•••••• I••••••••• A••••••••• I•• mixed wealth
Mar 9, 2007 to Mar 19, 2012 · Louisville, Ky
U•••• F•••••••• S••••••• G••••• I••• unclassified
Dec 6, 2004 to Jun 5, 2006 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Nov 14, 2023, registered Nov 9, 2023 (-5 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 9, 2019, registered Dec 6, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
S•••••• I••••••••• A••••••••• I•• to M••••• S••••••
left Mar 19, 2012, registered Apr 18, 2012 (30 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to S•••••• I••••••••• A••••••••• I••
left Jun 5, 2006, registered Mar 9, 2007 (277 days) · Other

Signals

C•••••• B•••• S•••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-11-09)
Nov 14, 2023 · 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: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address