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

A•••••• F••••••••

A••••• F•••••••• P•••••••• I•••independent RIAMiami Shores, Fl dual registrantIAPD 3079602

Feed of 09/15/2026

At current firm

1 y

since Jan 6, 2025

In the industry

28 y

since Aug 7, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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•••••••• P•••••••• I••• independent RIA current
since Jan 6, 2025 · Colorado Springs, Co
O•••• A••••••• S•••••••• L•• BD affiliated
Oct 14, 2024 to Jan 7, 2025 · Miami Shores, Fl
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Oct 11, 2024 · Scottsdale, Az
A••••••• P••••••••• A•••••••• I•• former
Jan 10, 2017 to Oct 11, 2024 · Miam Shores, Fl
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 22, 2016 · Miami, Fl
M••••• S•••••• • C•• L•• unclassified
May 4, 2009 to Jun 1, 2009 · Miami, Fl
M••••• K••••• • C••••••• L•• former
Aug 5, 2004 to Apr 29, 2009 · Coral Gables, Fl
U•••• P••••••• I••••••••• A•••••••• I••• unclassified
Mar 28, 2003 to Aug 5, 2004 · North Miami Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to A••••• F•••••••• P•••••••• I•••
left Jan 7, 2025, registered Jan 6, 2025 (-1 days) · Affiliated broker-dealer or bank to independent RIA
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
O•••• W•••••• I••• to O•••• A••••••• S•••••••• L••
left Oct 11, 2024, registered Oct 14, 2024 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
M••••• S•••••• to A••••••• P••••••••• A•••••••• I••
left Aug 22, 2016, registered Jan 10, 2017 (141 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• K••••• • C••••••• L•• to M••••• S•••••• • C•• L••
left Apr 29, 2009, registered May 4, 2009 (5 days) · Other
U•••• P••••••• I••••••••• A•••••••• I••• to M••••• K••••• • C••••••• L••
left Aug 5, 2004, registered Aug 5, 2004 (0 days) · corporate re-registration, not a move

Signals

A•••••• F•••••••• left O•••• A••••••• S•••••••• L•• for A••••• F•••••••• P•••••••• I••• (registered 2025-01-06)
Jan 7, 2025 · Advisor changed firm · fact
A•••••• F•••••••• left O•••• W•••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2024-10-14)
Oct 11, 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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address