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•••• D•••••

Q• A•••••••• L••no RAUMArvada, CoIA-onlyIAPD 4038562

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Apr 21, 2023

In the industry

26 y

since Dec 10, 1999 (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

Q• A•••••••• L•• no RAUM current
since Apr 21, 2023 · Arvada, Co
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 13, 2021 to Dec 7, 2022 · Punta Gorda, Fl
H••••••••• F•••••••• A••••••• BD affiliated
Jun 1, 2017 to Oct 6, 2020 · Naples, Fl
M••••• A••••••• P••••••• unclassified
Sep 20, 2016 to Apr 3, 2017 · Punta Gorda, Fl
S•••••• S••••••••• I••• BD affiliated
Jun 5, 2012 to Jul 8, 2016 · Columbus, Ga
S••••••• I••••••••• S•••••••• I••• former
Mar 20, 2008 to May 17, 2012 · Fort Myers, Fl
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Mar 10, 2008 · Punta Gorda, Fl
Q•••• • R•••••• I••• unclassified
Feb 26, 2004 to Oct 20, 2004 · Sarasota, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 10, 1999 to Feb 19, 2004 · Punta Gorda, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q• A•••••••• L••
left Dec 7, 2022, registered Apr 21, 2023 (135 days) · Other
H••••••••• F•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 6, 2020, registered Jan 13, 2021 (99 days) · Affiliated broker-dealer or bank to wirehouse
M••••• A••••••• P••••••• to H••••••••• F•••••••• A•••••••
left Apr 3, 2017, registered Jun 1, 2017 (59 days) · Other
S•••••• S••••••••• I••• to M••••• A••••••• P•••••••
left Jul 8, 2016, registered Sep 20, 2016 (74 days) · Other
S••••••• I••••••••• S•••••••• I••• to S•••••• S••••••••• I•••
left May 17, 2012, registered Jun 5, 2012 (19 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left Mar 10, 2008, registered Mar 20, 2008 (10 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••• • R•••••• I•••
left Feb 19, 2004, registered Feb 26, 2004 (7 days) · Other

Signals

D•••••• A•••• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for Q• A•••••••• L•• (registered 2023-04-21)
Dec 7, 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: No RAUM reportedderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address