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•••••• J••••• C••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseGainesville, Fldual registrantIAPD 4370349

Feed of 09/14/2026

At current firm

10 y

since Feb 11, 2016

In the industry

25 y

since May 17, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Feb 11, 2016 · Gainesville, Fl
E••••• J•••• national BD
Jun 25, 2013 to Sep 3, 2015 · Gainesville, Fl
A•••••• P••••••• P•••••••• I••• BD affiliated
Apr 3, 2013 to Jun 21, 2013 · Gainesville, Fl
V•••• F•••••••• A•••••••• I••• BD affiliated
May 18, 2010 to Feb 14, 2013 · Gainesville, Fl
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to May 4, 2010 · Albany, Ga
A• G• E•••••• • S•••• I••• unclassified
Jan 6, 2004 to Jan 1, 2008 · Albany, Ga

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 3, 2015, registered Feb 11, 2016 (161 days) · Affiliated broker-dealer or bank to wirehouse
A•••••• P••••••• P•••••••• I••• to E••••• J••••
left Jun 21, 2013, registered Jun 25, 2013 (4 days) · Other
V•••• F•••••••• A•••••••• I••• to A•••••• P••••••• P•••••••• I•••
left Feb 14, 2013, registered Apr 3, 2013 (48 days) · Other
W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
left May 4, 2010, registered May 18, 2010 (14 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

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: Wirehousederived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address