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•••••••• C• R••••••

N••••• W••••• P•••••••independent RIABonita Springs, FlIA-onlyIAPD 4189721

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Jan 1, 2025

In the industry

26 y

since Jul 19, 2000 (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

N••••• W••••• P••••••• independent RIA current
since Jan 1, 2025 · Bonita Springs, Fl
I•••••• W••••• L•• independent RIA
Jul 2, 2024 to Sep 30, 2024 · Naples, Fl
I•••••• W••••• L•• independent RIA
Jul 14, 2023 to Jun 17, 2024 · Mount Pleasant, Sc
L•••••• W••••• M••••••••• L•• independent RIA
Oct 22, 2020 to Aug 4, 2023 · Naples, Fl
C••••••••• F••••••••• L•• former
Dec 5, 2017 to Dec 31, 2020 · N•••••, Fl
C••••••••• F••••••••• L•• former
Dec 5, 2017 to Dec 31, 2017 · Naples, Fl
C•••••• W••••• P•••••••• L•• independent RIA
Jun 8, 2017 to Dec 15, 2020 · Naples, Fl
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 18, 2009 to Apr 7, 2017 · Columbia, Mo
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 17, 2001 to Dec 2, 2004 · Columbia, Mo

Moves

a registration end followed by a registration begin elsewhere

I•••••• W••••• L•• to N••••• W••••• P•••••••
left Sep 30, 2024, registered Jan 1, 2025 (93 days) · RIA to RIA · moved with a team
L•••••• W••••• M••••••••• L•• to I•••••• W••••• L••
left Aug 4, 2023, registered Jul 14, 2023 (-21 days) · RIA to RIA · moved with a team
C••••••••• F••••••••• L•• to L•••••• W••••• M••••••••• L••
left Dec 31, 2020, registered Oct 22, 2020 (-70 days) · RIA to RIA · moved with a team
C•••••• W••••• P•••••••• L•• to C••••••••• F••••••••• L••
left Dec 15, 2020, registered Dec 5, 2017 (-1106 days) · RIA to RIA
S•••••• N••••••• • C••••••• I••••••••• to C•••••• W••••• P•••••••• L••
left Apr 7, 2017, registered Jun 8, 2017 (62 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 2, 2004, registered Dec 18, 2009 (1842 days) · Wirehouse to affiliated broker-dealer or bank

Signals

M•••••••• C• R•••••• left I•••••• W••••• L•• for N••••• W••••• P••••••• (registered 2025-01-01)
Sep 30, 2024 · Advisor changed firm · fact
M•••••••• C• R•••••• left L•••••• W••••• M••••••••• L•• for I•••••• W••••• L•• (registered 2023-07-14)
Aug 4, 2023 · 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address