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.

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Registered advisor

D•••• A• F••••

G•• S••••••••• I•••BD affiliatedSarasota, Fl dual registrantIAPD 4016927

Feed of 09/14/2026

Also filed as D•••• A. F••••

At current firm

10 y

since Jan 4, 2016

In the industry

26 y

since Oct 15, 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

G•• S••••••••• I••• BD affiliated current
since Jan 4, 2016 · Palm Beach Gardens, Fl
S••••• A••••••• I••• BD affiliated
Jan 30, 2015 to Dec 31, 2015 · Birmingham, Al
S••••• A••• I••••••••• A•••••• S•••••••• I••• former
Jul 1, 2013 to Jan 30, 2015 · Youngstown, Oh
S•••••••• I••••••••• N•••• I••• state registered
Jan 10, 2013 to Jun 28, 2013 · Glastonbury, Ct
K••••• A•••••••• I••• BD affiliated
Aug 15, 2006 to Dec 31, 2012 · Ft. Lauderdale, Fl
K••••• S••••••••• I••• unclassified
Nov 30, 2005 to Aug 15, 2006 · Ft. Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

S••••• A••••••• I••• to G•• S••••••••• I•••
left Dec 31, 2015, registered Jan 4, 2016 (4 days) · Other · moved with a team
S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••
left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
S•••••••• I••••••••• N•••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••
left Jun 28, 2013, registered Jul 1, 2013 (3 days) · Other
K••••• A•••••••• I••• to S•••••••• I••••••••• N•••• I•••
left Dec 31, 2012, registered Jan 10, 2013 (10 days) · Other
K••••• S••••••••• I••• to K••••• A•••••••• I•••
left Aug 15, 2006, registered Aug 15, 2006 (0 days) · Other

Signals

No dated event on this person.

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