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

C••••••• A••••••••

T• P•••••• C••••• W••••• L••BD affiliatedSarasota, Fl dual registrantIAPD 4260929

Feed of 09/14/2026

Also filed as Cathy A••••••••

At current firm

3 y

since Sep 15, 2023

In the industry

25 y

since Aug 27, 2001 (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

T• P•••••• C••••• W••••• L•• BD affiliated current
since Sep 15, 2023 · Coral Gables, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 22, 2022 to Sep 9, 2023 · Miami, Fl
T• P•••••• C••••• W••••• L•• BD affiliated
Sep 24, 2013 to Apr 25, 2022 · Coral Gables, Fl
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jul 17, 2009 to Nov 12, 2010 · Coral Gables, Fl
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 30, 2007 to Feb 20, 2009 · Miami, Fl
S••••••• I••••••••• S•••••••• I••• former
Jul 5, 2006 to Oct 31, 2007 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• P•••••• C••••• W••••• L••
left Sep 9, 2023, registered Sep 15, 2023 (6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
T• P•••••• C••••• W••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 25, 2022, registered Dec 22, 2022 (241 days) · Affiliated broker-dealer or bank to wirehouse
U•••• F•••••••• S••••••• G••••• I••• to T• P•••••• C••••• W••••• L••
left Nov 12, 2010, registered Sep 24, 2013 (1047 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Feb 20, 2009, registered Jul 17, 2009 (147 days) · Other
S••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 31, 2007, registered Oct 30, 2007 (-1 days) · Other

Signals

C••••••• A•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T• P•••••• C••••• W••••• L•• (registered 2023-09-15)
Sep 9, 2023 · Advisor changed firm · fact
C••••••• A•••••••• left T• P•••••• C••••• W••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-12-22)
Apr 25, 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: 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