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••••• M••••

L•• F•••••••• L••BD affiliatedSt. Augustine, Fldual registrantIAPD 4373686

Feed of 09/14/2026

At current firm

1 y

since Jul 11, 2025

In the industry

25 y

since May 8, 2001 (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

L•• F•••••••• L•• BD affiliated current
since Jul 11, 2025 · St. Augustine, Fl
A••• G••••• A•••••••• L•• independent RIA
Sep 23, 2022 to Feb 26, 2025 · New York, Ny
C•••••• G•••• • C• I•• former
Aug 16, 2022 to Jul 10, 2025 · New York, Ny
A••••••• P••••••••• A•••••••• I•• former
Jan 2, 2015 to Aug 12, 2022 · Holbrook, Ny
E•••••••• A•••••••• L•• national BD
Nov 14, 2012 to Dec 22, 2014 · St. Augustine, Fl
E•• F•••••••• A••••••• independent RIA
Feb 8, 2012 to Nov 30, 2012 · Jacksonville, Fl
E•••••••• A•••••••• L•• national BD
May 8, 2001 to Jan 6, 2012 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to A••• G••••• A•••••••• L••
left Jul 10, 2025, registered Sep 23, 2022 (-1021 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
A••• G••••• A•••••••• L•• to L•• F•••••••• L••
left Feb 26, 2025, registered Jul 11, 2025 (135 days) · RIA to affiliated broker-dealer or bank
A••••••• P••••••••• A•••••••• I•• to C•••••• G•••• • C• I••
left Aug 12, 2022, registered Aug 16, 2022 (4 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Dec 22, 2014, registered Jan 2, 2015 (11 days) · Other
E•• F•••••••• A••••••• to E•••••••• A•••••••• L••
left Nov 30, 2012, registered Nov 14, 2012 (-16 days) · Other
E•••••••• A•••••••• L•• to E•• F•••••••• A•••••••
left Jan 6, 2012, registered Feb 8, 2012 (33 days) · Other

Signals

C•••••• A••••• M•••• left C•••••• G•••• • C• I•• for A••• G••••• A•••••••• L•• (registered 2022-09-23)
Jul 10, 2025 · Advisor changed firm · fact
C•••••• A••••• M•••• left A••• G••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-07-11)
Feb 26, 2025 · Advisor changed firm · fact
C•••••• A••••• M•••• left A••••••• P••••••••• A•••••••• I•• for C•••••• G•••• • C• I•• (registered 2022-08-16)
Aug 12, 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