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

M•••••• S••• P••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWeston, Fl dual registrantIAPD 3264684

Feed of 09/14/2026

At current firm

0 y

since Nov 25, 2025

In the industry

25 y

since Aug 1, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Nov 25, 2025 · Weston, Fl
D•••••• L••• S••••• L•• former
Aug 26, 2024 to Dec 31, 2025 · Calhoun, Ga
D•••••• L••• S••••• L•• former
Aug 26, 2024 to Apr 3, 2026 · Rome, Ga
B••••••••• A•••• M••••••••• L•• independent RIA
Nov 26, 2019 to Aug 23, 2024 · Weston, Fl
G•• S••••••••• I••• BD affiliated
Jan 28, 2019 to Aug 2, 2019 · Weston, Fl

Moves

a registration end followed by a registration begin elsewhere

D•••••• L••• S••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 3, 2026, registered Nov 25, 2025 (-129 days) · RIA to affiliated broker-dealer or bank · moved with a team
B••••••••• A•••• M••••••••• L•• to D•••••• L••• S••••• L••
left Aug 23, 2024, registered Aug 26, 2024 (3 days) · Affiliated broker-dealer or bank to independent RIA
G•• S••••••••• I••• to B••••••••• A•••• M••••••••• L••
left Aug 2, 2019, registered Nov 26, 2019 (116 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team

Signals

M•••••• S••• P•••• left D•••••• L••• S••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-11-25)
Apr 3, 2026 · Advisor changed firm · fact
M•••••• S••• P•••• left B••••••••• A•••• M••••••••• L•• for D•••••• L••• S••••• L•• (registered 2024-08-26)
Aug 23, 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: 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