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

N•••• A•••••• C•••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseCoral Gables, Fldual registrantIAPD 2950971

Feed of 09/14/2026

Also filed as N•••• A••••••

At current firm

4 y

since Feb 28, 2022

In the industry

28 y

since Apr 30, 1998 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Feb 28, 2022 · Coral Gables, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 3, 2020 to Feb 25, 2022 · Miami, Fl
M••••• S•••••• wirehouse
Apr 29, 2016 to Oct 20, 2020 · Miami, Fl
C••••• S••••• S••••••••• •••• L•• former
Jun 17, 2013 to May 11, 2016 · Miami, Fl
M••••• S•••••• D• I••• unclassified
Apr 30, 1998 to Jul 1, 2003 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 25, 2022, registered Feb 28, 2022 (3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M••••• S•••••• to C•••••••• G••••• M•••••• I•••
left Oct 20, 2020, registered Nov 3, 2020 (14 days) · Wirehouse to affiliated broker-dealer or bank
C••••• S••••• S••••••••• •••• L•• to M••••• S••••••
left May 11, 2016, registered Apr 29, 2016 (-12 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to C••••• S••••• S••••••••• •••• L••
left Jul 1, 2003, registered Jun 17, 2013 (3639 days) · Other

Signals

N•••• A•••••• C••••••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-02-28)
Feb 25, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address