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

T••••• F•••••• F•••••• G•••• I••

M••••• S••••••wirehouseNaples, Fldual registrantIAPD 3243438

Feed of 09/14/2026

Also filed as T••••• F•••••• G••••

At current firm

1 y

since Oct 3, 2024

In the industry

26 y

since Oct 13, 1999 (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

M••••• S•••••• wirehouse current
since Oct 3, 2024 · Naples, Fl
J••••• M••••••••• S•••• L•• BD affiliated
May 13, 2015 to Oct 21, 2024 · Naples, Fl
R•• C•••••• M••••••• L•• national BD
Apr 24, 2009 to May 27, 2015 · Naples, Fl
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Apr 20, 2009 · Naples, Fl
P••••••••• E••••• G••••• L•• unclassified
Oct 13, 1999 to Jul 1, 2003 · Naples, Fl

Moves

a registration end followed by a registration begin elsewhere

J••••• M••••••••• S•••• L•• to M••••• S••••••
left Oct 21, 2024, registered Oct 3, 2024 (-18 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
R•• C•••••• M••••••• L•• to J••••• M••••••••• S•••• L••
left May 27, 2015, registered May 13, 2015 (-14 days) · Other
W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
left Apr 20, 2009, registered Apr 24, 2009 (4 days) · Wirehouse to affiliated broker-dealer or bank
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

T••••• F•••••• F•••••• G•••• I•• left J••••• M••••••••• S•••• L•• for M••••• S•••••• (registered 2024-10-03)
Oct 21, 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address