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

S•••• T••••• H•••••••••

M•• I•••••••• S•••••••• L••BD affiliatedPort St Lucia, Fl dual registrantIAPD 2760619

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••• H•••••••••

At current firm

0 y

since Oct 1, 2025

In the industry

30 y

since Aug 7, 1996 (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 Oct 1, 2025 · Port St Lucia, Fl
C••••• A••••••• G••••• L•• independent RIA
Feb 15, 2018 to Aug 29, 2025 · Port Saint Lucie, Fl
F•• S••••••••• C••••••••• former
Dec 12, 2017 to Jul 31, 2018 · Clearwater, Fl
S•• I••••••••• I••• former
Feb 23, 2012 to Dec 6, 2017 · Wayne, Pa
S••••• W••••• A•••••••• I••• no RAUM
Jan 3, 2012 to Feb 27, 2012 · Orlando, Fl
C•••••• S••••• • C••• I••• national BD
Jun 5, 2008 to Feb 27, 2012 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• G••••• L•• to M•• I•••••••• S•••••••• L••
left Aug 29, 2025, registered Oct 1, 2025 (33 days) · RIA to affiliated broker-dealer or bank · moved with a team
F•• S••••••••• C••••••••• to C••••• A••••••• G••••• L••
left Jul 31, 2018, registered Feb 15, 2018 (-166 days) · Other · moved with a team
S•• I••••••••• I••• to F•• S••••••••• C•••••••••
left Dec 6, 2017, registered Dec 12, 2017 (6 days) · Other
S••••• W••••• A•••••••• I••• to S•• I••••••••• I•••
left Feb 27, 2012, registered Feb 23, 2012 (-4 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Feb 27, 2012, registered Jan 3, 2012 (-55 days) · channel change inside one enterprise, not a move

Signals

S•••• T••••• H••••••••• left C••••• A••••••• G••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-10-01)
Aug 29, 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