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

S••••• R•••••

S•••••• N••••••• • C••••••• I•••••••••national BDPalm Beach Gardens, Fldual registrantIAPD 4365376

Feed of 09/14/2026

Also filed as S••••• Tracz

At current firm

2 y

since Oct 25, 2023

In the industry

24 y

since Jul 2, 2002 (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

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Oct 25, 2023 · Palm Beach Gardens, Fl
K•• I••••••••• S••••••• L•• BD affiliated
Jan 23, 2023 to Oct 25, 2023 · Vero Beach, Fl
K••••• A•••••••• I••• BD affiliated
Aug 2, 2022 to Sep 2, 2022 · Palm Beach Gardens, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 16, 2022 to Jul 26, 2022 · Vero Beach, Fl
U•• F•••••••• S••••••• I••• wirehouse
Apr 19, 2018 to Jul 5, 2022 · Naples, Fl
W•••• F•••• A••••••• wirehouse
Sep 2, 2008 to Apr 5, 2018 · Naples, Fl

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Oct 25, 2023, registered Oct 25, 2023 (0 days) · Affiliated broker-dealer or bank to another
K••••• A•••••••• I••• to K•• I••••••••• S••••••• L••
left Sep 2, 2022, registered Jan 23, 2023 (143 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K••••• A•••••••• I•••
left Jul 26, 2022, registered Aug 2, 2022 (7 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 5, 2022, registered Jun 16, 2022 (-19 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Apr 5, 2018, registered Apr 19, 2018 (14 days) · Wirehouse to wirehouse · moved with a team

Signals

S••••• R••••• left K•• I••••••••• S••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-10-25)
Oct 25, 2023 · Advisor changed firm · fact
S••••• R••••• left K••••• A•••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2023-01-23)
Sep 2, 2022 · Advisor changed firm · fact
S••••• R••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for K••••• A•••••••• I••• (registered 2022-08-02)
Jul 26, 2022 · Advisor changed firm · fact
S••••• R••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-06-16)
Jul 5, 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address