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

C•••• P••••••

A••••••••• F•••••••• S•••••••• L••national BDWest Palm Beach, Fl dual registrantIAPD 2990291

Feed of 09/15/2026

Also filed as C•••• P P••••••

At current firm

2 y

since Sep 11, 2024

In the industry

26 y

since Dec 30, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Sep 11, 2024 · Palm Beach Gardens, Fl
A••••• W••••• M••••••••• L•• independent RIA
Mar 7, 2024 to May 23, 2024 · North Palm Beach, Fl
C••••• W••••• M••••••••• independent RIA
May 12, 2023 to Feb 2, 2024 · Boynton Beach, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 30, 2022 to Apr 25, 2023 · Palm Beach Gardens, Fl
E••••• J•••• national BD
Nov 12, 2019 to Aug 30, 2022 · West Palm Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 23, 2024, registered Sep 11, 2024 (111 days) · RIA to affiliated broker-dealer or bank
C••••• W••••• M••••••••• to A••••• W••••• M••••••••• L••
left Feb 2, 2024, registered Mar 7, 2024 (34 days) · RIA to RIA
A••••••••• F•••••••• S•••••••• L•• to C••••• W••••• M•••••••••
left Apr 25, 2023, registered May 12, 2023 (17 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
left Aug 30, 2022, registered Aug 30, 2022 (0 days) · Affiliated broker-dealer or bank to another

Signals

C•••• P•••••• left A••••• W••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-09-11)
May 23, 2024 · Advisor changed firm · fact
C•••• P•••••• left C••••• W••••• M••••••••• for A••••• W••••• M••••••••• L•• (registered 2024-03-07)
Feb 2, 2024 · Advisor changed firm · fact
C•••• P•••••• left A••••••••• F•••••••• S•••••••• L•• for C••••• W••••• M••••••••• (registered 2023-05-12)
Apr 25, 2023 · Advisor changed firm · fact
C•••• P•••••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-30)
Aug 30, 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address