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

B•••• L• M•••

S••BD affiliatedHoliday, Fldual registrantIAPD 4279246

Certified Financial Planner

Feed of 09/14/2026

At current firm

9 y

since May 1, 2017

In the industry

28 y

since Mar 1, 1998 (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

S•• BD affiliated current
since May 1, 2017 · Holiday, Fl
C•••••• A••••••• BD affiliated
Nov 4, 2015 to Apr 24, 2017 · Lutz, Fl
L•••••• I••••••••• independent RIA
Aug 11, 2015 to Apr 24, 2017 · Lutz, Fl
S••••• M••••••••• independent RIA
Oct 14, 2013 to Nov 2, 2015 · North Little Rock, Ar
S•• BD affiliated
Jan 5, 2004 to Oct 4, 2013 · Holiday, Fl
R•••••• J•••• • A••••••••• I••• national BD
Dec 20, 2000 to Nov 14, 2003 · Holiday, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to S••
left Apr 24, 2017, registered May 1, 2017 (7 days) · Other
L•••••• I••••••••• to C•••••• A•••••••
left Apr 24, 2017, registered Nov 4, 2015 (-537 days) · Other
S••••• M••••••••• to L•••••• I•••••••••
left Nov 2, 2015, registered Aug 11, 2015 (-83 days) · Other
S•• to S••••• M•••••••••
left Oct 4, 2013, registered Oct 14, 2013 (10 days) · Other
R•••••• J•••• • A••••••••• I••• to S••
left Nov 14, 2003, registered Jan 5, 2004 (52 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address