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•••• T•••• S••••••••• I•••BD affiliatedTampa, Fl dual registrantIAPD 2957390

Feed of 09/14/2026

Also filed as S•••• Stuart R••••••

At current firm

2 y

since May 28, 2024

In the industry

26 y

since May 23, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• T•••• S••••••••• I••• BD affiliated current
since May 28, 2024 · Tampa, Fl
E••••• J•••• national BD
Nov 26, 2019 to May 29, 2024 · St Petersburg, Fl
S•••••• S••••••••• I••• BD affiliated
Aug 26, 2016 to Jul 29, 2019 · Tampa, Fl
S••••••• I••••••••• S•••••••• I••• former
Jun 4, 2013 to Mar 14, 2016 · Tampa, Fl
L•• F•••••••• L•• BD affiliated
Aug 10, 2012 to Jul 31, 2013 · Tampa, Fl
U•••• F•••••••• S••••••• G••••• I••• unclassified
Nov 13, 2009 to Nov 12, 2010 · Tampa, Fl
B••• I••••••••• S•••••••• I••• former
Aug 16, 2004 to Jul 3, 2006 · Clearwater, Fl
C••••••• A•••• M••••••••• I•• unclassified
May 3, 2004 to Mar 16, 2005 · Palm Harbor, Fl
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Apr 22, 2004 · Tampa, Fl
P••••••••• E••••• G••••• L•• unclassified
May 23, 2000 to Jul 1, 2003 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to F•••• T•••• S••••••••• I•••
left May 29, 2024, registered May 28, 2024 (-1 days) · Affiliated broker-dealer or bank to another
S•••••• S••••••••• I••• to E••••• J••••
left Jul 29, 2019, registered Nov 26, 2019 (120 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• S•••••••• I••• to S•••••• S••••••••• I•••
left Mar 14, 2016, registered Aug 26, 2016 (165 days) · Other
L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••
left Jul 31, 2013, registered Jun 4, 2013 (-57 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Nov 12, 2010, registered Aug 10, 2012 (637 days) · Other
B••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Jul 3, 2006, registered Nov 13, 2009 (1229 days) · Other
C••••••• A•••• M••••••••• I•• to B••• I••••••••• S•••••••• I•••
left Mar 16, 2005, registered Aug 16, 2004 (-212 days) · Other
W•••• F•••• A••••••• to C••••••• A•••• M••••••••• I••
left Apr 22, 2004, registered May 3, 2004 (11 days) · Other
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

S•••• R•••••• left E••••• J•••• for F•••• T•••• S••••••••• I••• (registered 2024-05-28)
May 29, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address