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

D••••• R•••••• M•••••

I••••••••• F•••••••• P•••••••BD affiliatedHolmes Beach, Fl dual registrantIAPD 2972713

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jul 29, 2024

In the industry

28 y

since Dec 29, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• F•••••••• P••••••• BD affiliated current
since Jul 29, 2024 · Tampa, Fl
S•• I••••••••• A•••••••• I••• former
May 16, 2014 to Jul 25, 2024 · Fresno, Ca
O••••••••• • C•• I••• BD affiliated
Feb 7, 2011 to May 19, 2014 · Houston, Tx
S••••••• G•••• C•••••• unclassified
Oct 15, 2004 to Mar 16, 2009 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Nov 1, 2004 · Houston, Tx
P••••••••• E••••• G••••• L•• unclassified
Jan 2, 1998 to Jul 1, 2003 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

S•• I••••••••• A•••••••• I••• to I••••••••• F•••••••• P•••••••
left Jul 25, 2024, registered Jul 29, 2024 (4 days) · Affiliated broker-dealer or bank to another
O••••••••• • C•• I••• to S•• I••••••••• A•••••••• I•••
left May 19, 2014, registered May 16, 2014 (-3 days) · Other
S••••••• G•••• C•••••• to O••••••••• • C•• I•••
left Mar 16, 2009, registered Feb 7, 2011 (693 days) · Other
W•••• F•••• A••••••• to S••••••• G•••• C••••••
left Nov 1, 2004, registered Oct 15, 2004 (-17 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

D••••• R•••••• M••••• left S•• I••••••••• A•••••••• I••• for I••••••••• F•••••••• P••••••• (registered 2024-07-29)
Jul 25, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address