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•••• A••••• J••••••

C••••• I••••••••• A••••••• L••BD affiliatedOcala, Fldual registrantIAPD 4016740

Feed of 09/14/2026

At current firm

2 y

since May 31, 2024

In the industry

26 y

since Nov 9, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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••••••••• A••••••• L•• BD affiliated current
since May 31, 2024 · Ocala, Fl
O•••• I••••••••• I••• BD affiliated
Dec 13, 2017 to Jun 3, 2024 · Ocala, Fl
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Dec 1, 2007 to Feb 22, 2008 · Los Angeles, Ca
I••••• F•••••••• C••••••••• former
Jul 31, 2007 to Dec 12, 2017 · Appleton, Wi
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 5, 2007 to Jul 31, 2007 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

O•••• I••••••••• I••• to C••••• I••••••••• A••••••• L••
left Jun 3, 2024, registered May 31, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
I••••• F•••••••• C••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Dec 12, 2017, registered Dec 1, 2007 (-3664 days) · channel change inside one enterprise, not a move
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• I••••••••• I•••
left Feb 22, 2008, registered Dec 13, 2017 (3582 days) · Other
A••••••••• F•••••••• S•••••••• L•• to I••••• F•••••••• C•••••••••
left Jul 31, 2007, registered Jul 31, 2007 (0 days) · Other

Signals

D•••• A••••• J•••••• left O•••• I••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-05-31)
Jun 3, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address