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•••• F••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseStuart, Fl dual registrantIAPD 2759338

Feed of 09/15/2026

Also filed as Diane Marie Vogel

At current firm

2 y

since Sep 9, 2024

In the industry

25 y

since Dec 19, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Sep 9, 2024 · Boca Raton, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 8, 2023 to Aug 22, 2024 · Fort Mill, Sc
M••••• S•••••• wirehouse
May 18, 2022 to Jul 12, 2023 · Boca Raton, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 21, 2017 to Apr 4, 2022 · Pennington, Nj
P•••• S••••••••• L•• no RAUM
Oct 21, 2014 to Jan 5, 2016 · Newark, Nj
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 13, 2011 to Jan 2, 2013 · Ft Lauderdale, Fl
P••• A••••• S••••••••• L•• BD affiliated
Feb 3, 2004 to Sep 21, 2011 · White Plains, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 22, 2024, registered Sep 9, 2024 (18 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to C•••••••• G••••• M•••••• I•••
left Jul 12, 2023, registered Sep 8, 2023 (58 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Apr 4, 2022, registered May 18, 2022 (44 days) · Wirehouse to wirehouse · moved with a team
P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 5, 2016, registered Sep 21, 2017 (625 days) · Other · moved with a team
N••••••••• M••••• I••••••••• S••••••••• to P•••• S••••••••• L••
left Jan 2, 2013, registered Oct 21, 2014 (657 days) · Other
P••• A••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Sep 21, 2011, registered Oct 13, 2011 (22 days) · Other

Signals

D•••• F•••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-09-09)
Aug 22, 2024 · Advisor changed firm · fact
D•••• F•••• left M••••• S•••••• for C•••••••• G••••• M•••••• I••• (registered 2023-09-08)
Jul 12, 2023 · Advisor changed firm · fact
D•••• F•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2022-05-18)
Apr 4, 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: Wirehousederived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address