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

R••••• D••••• O••••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 2980965

Feed of 09/15/2026

Also filed as D••••• O••••••••

At current firm

0 y

since Mar 26, 2026

In the industry

28 y

since Dec 2, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Mar 26, 2026 · Stamford, Ct
J• W• C••• A•••••••• I••• BD affiliated
Dec 5, 2023 to Mar 19, 2026 · Tampa, Fl
I••••••••• F•••••••• P••••••• BD affiliated
Aug 23, 2022 to Nov 22, 2023 · Tampa, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Apr 26, 2018 to Apr 28, 2021 · St. Petersburg, Fl
R•••••• J•••• • A••••••••• I••• national BD
Jun 16, 2016 to Dec 5, 2017 · St. Petersburg, Fl
S•••••••• A••••••• L•• national BD
Jul 9, 2015 to May 25, 2016 · Tampa, Fl
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Nov 5, 2013 to Apr 22, 2015 · Tampa, Fl
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Mar 15, 2006 to Sep 27, 2007 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

J• W• C••• A•••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Mar 19, 2026, registered Mar 26, 2026 (7 days) · Affiliated broker-dealer or bank to another
I••••••••• F•••••••• P••••••• to J• W• C••• A•••••••• I•••
left Nov 22, 2023, registered Dec 5, 2023 (13 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• F•••••••• P•••••••
left Apr 28, 2021, registered Aug 23, 2022 (482 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 5, 2017, registered Apr 26, 2018 (142 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••
left May 25, 2016, registered Jun 16, 2016 (22 days) · Affiliated broker-dealer or bank to another
T• R••• P•••• A••••••• S•••••••• I••• to S•••••••• A••••••• L••
left Apr 22, 2015, registered Jul 9, 2015 (78 days) · Other

Signals

R••••• D••••• O•••••••• left J• W• C••• A•••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-03-26)
Mar 19, 2026 · Advisor changed firm · fact
R••••• D••••• O•••••••• left I••••••••• F•••••••• P••••••• for J• W• C••• A•••••••• I••• (registered 2023-12-05)
Nov 22, 2023 · 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