DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••••• E•••
Feed of 09/14/2026
At current firm
0 y
since Dec 19, 2025
In the industry
25 y
since Mar 28, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Dec 19, 2025 · Winter Park, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 17, 2011 to Dec 18, 2025 · Winter Park, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 2, 2010 · Orlando, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Orlando, Fl
- M••••• S•••••• D• I••• unclassifiedAug 18, 2006 to Apr 2, 2007 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2001 to Jul 3, 2006 · Winter Park, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Dec 18, 2025, registered Dec 19, 2025 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2010, registered Feb 17, 2011 (230 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Jul 3, 2006, registered Aug 18, 2006 (46 days) · Other
Signals
- C•••••••• E••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2025-12-19)Dec 18, 2025 · 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