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•••• F•••

L•• E••••••••• L••BD affiliatedTampa, Fl dual registrantIAPD 3165455

Feed of 09/14/2026

Also filed as Dave Foad

At current firm

1 y

since Jan 7, 2025

In the industry

26 y

since Aug 30, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Jan 7, 2025 · Naples, Fl
P•••• S••••••••• L•• no RAUM
Nov 16, 2022 to Nov 12, 2024 · Sarasota, Fl
F•••• H•••••• A•••••••• I•• former
May 13, 2021 to Oct 24, 2022 · Memphis, Tn
O•••• I••••••••• I••• BD affiliated
Jun 4, 2018 to Jan 22, 2021 · Naples, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 28, 2017 to May 31, 2018 · Naples, Fl
W•••• F•••• A••••••• wirehouse
Sep 19, 2012 to Aug 23, 2017 · Media, Pa
E•••••••• A•••••••• L•• national BD
Jul 19, 2011 to Sep 12, 2012 · Bala Cynwyd, Pa

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 12, 2024, registered Jan 7, 2025 (56 days) · corporate re-registration, not a move
F•••• H•••••• A•••••••• I•• to P•••• S••••••••• L••
left Oct 24, 2022, registered Nov 16, 2022 (23 days) · RIA to affiliated broker-dealer or bank
O•••• I••••••••• I••• to F•••• H•••••• A•••••••• I••
left Jan 22, 2021, registered May 13, 2021 (111 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• I••••••••• I•••
left May 31, 2018, registered Jun 4, 2018 (4 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 23, 2017, registered Sep 28, 2017 (36 days) · Wirehouse to wirehouse · moved with a team
E•••••••• A•••••••• L•• to W•••• F•••• A•••••••
left Sep 12, 2012, registered Sep 19, 2012 (7 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D•••• F••• left F•••• H•••••• A•••••••• I•• for P•••• S••••••••• L•• (registered 2022-11-16)
Oct 24, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address