DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• S•••• Y••••
Feed of 09/14/2026
At current firm
1 y
since Jan 21, 2025
In the industry
38 y
since Apr 1, 1988 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- G••••••• A•••••••• L•• independent RIA currentsince Jan 21, 2025 · Coral Springs, Fl
- W••••••••• W••••• M••••••••• L•• unclassifiedOct 3, 2012 to Oct 2, 2017 · Fort Lauderdale, Fl
- G••••• F•••••••• P•••••• C••••••• I••• formerMar 26, 2010 to Oct 18, 2012 · Fort Lauderdale, Fl
- W••••••••• W••••• M••••••••• L•• unclassifiedApr 1, 2009 to Dec 10, 2010 · Fort Lauderdale, Fl
- U•• F•••••••• S••••••••• L•• independent RIAMay 20, 2008 to Dec 31, 2008 · Tamarac, Fl
Moves
a registration end followed by a registration begin elsewhere
- W••••••••• W••••• M••••••••• L•• to G••••••• A•••••••• L••left Oct 2, 2017, registered Jan 21, 2025 (2668 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to W••••••••• W••••• M••••••••• L••left Oct 18, 2012, registered Oct 3, 2012 (-15 days) · Other
- W••••••••• W••••• M••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Dec 10, 2010, registered Mar 26, 2010 (-259 days) · Other
- U•• F•••••••• S••••••••• L•• to W••••••••• W••••• M••••••••• L••left Dec 31, 2008, registered Apr 1, 2009 (91 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address