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•••••• R•••• F••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedFort Lauderdale, Fldual registrantIAPD 2912309

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••••• R F••••••

At current firm

1 y

since Jan 1, 2025

In the industry

29 y

since Aug 19, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jan 1, 2025 · Fort Lauderdale, Fl
K••••• A•••••••• I••• BD affiliated
Jul 5, 2018 to Nov 12, 2018 · Fort Lauderdale, Fl
C•••••• G••••••• W••••• M••••••••• L•• former
May 14, 2009 to Jul 13, 2018 · Miami, Fl
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Oct 10, 2006 to May 1, 2009 · Coral Springs, Fl
A• G• E•••••• • S•••• I••• unclassified
Aug 19, 1997 to Jul 28, 2006 · Ft. Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

K••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 12, 2018, registered Jan 1, 2025 (2242 days) · Affiliated broker-dealer or bank to another
C•••••• G••••••• W••••• M••••••••• L•• to K••••• A•••••••• I•••
left Jul 13, 2018, registered Jul 5, 2018 (-8 days) · RIA to affiliated broker-dealer or bank · moved with a team
R•••••• J•••• F•••••••• S•••••••• I••• to C•••••• G••••••• W••••• M••••••••• L••
left May 1, 2009, registered May 14, 2009 (13 days) · Other
A• G• E•••••• • S•••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Jul 28, 2006, registered Oct 10, 2006 (74 days) · Other

Signals

No dated event on this person.

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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address