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•••••• M•••••• D•••

I••••••••• F•••••••• P•••••••BD affiliatedTampa, Fl dual registrantIAPD 3198058

Certified Financial Planner

Feed of 09/15/2026

Also filed as Rick D•••

At current firm

4 y

since May 4, 2022

In the industry

25 y

since Aug 30, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 May 4, 2022 · Tampa, Fl
S••••• W••••• A•••••••• I••• no RAUM
Oct 10, 2013 to May 10, 2022 · Lone Tree, Co
C•••••• S••••• • C••• I••• national BD
Jun 12, 2007 to Oct 10, 2013 · Englewood, Co
A• G• E•••••• • S•••• I••• unclassified
May 23, 2003 to Dec 4, 2003 · Greenwood Village, Co
S•••••••• A••••••• L•• national BD
Aug 30, 2001 to May 30, 2003 · Lone Tree, Co

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to I••••••••• F•••••••• P•••••••
left May 10, 2022, registered May 4, 2022 (-6 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Oct 10, 2013, registered Oct 10, 2013 (0 days) · channel change inside one enterprise, not a move
A• G• E•••••• • S•••• I••• to C•••••• S••••• • C••• I•••
left Dec 4, 2003, registered Jun 12, 2007 (1286 days) · Other
S•••••••• A••••••• L•• to A• G• E•••••• • S•••• I•••
left May 30, 2003, registered May 23, 2003 (-7 days) · Other

Signals

R•••••• M•••••• D••• left S••••• W••••• A•••••••• I••• for I••••••••• F•••••••• P••••••• (registered 2022-05-04)
May 10, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address