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

R•••••• S•••• H•••

L•• F•••••••• L••BD affiliatedLargo, Fldual registrantIAPD 4412433

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Feb 23, 2024

In the industry

25 y

since Jul 13, 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

L•• F•••••••• L•• BD affiliated current
since Feb 23, 2024 · Largo, Fl
U••••••••• W••••• M••••••••• L•• independent RIA
Oct 27, 2014 to Dec 7, 2021 · Knoxville, Tn
N••• F•••••••• G••••• I••• former
May 3, 2013 to May 23, 2013 · Manchester, Tn
U••••••••• W••••• M••••••••• L•• independent RIA
Jan 24, 2012 to Dec 5, 2012 · Knoxville, Tn
S••••••••• A•••••• A•••••••• I••• former
Aug 1, 2011 to Oct 28, 2014 · Knoxville, Tn
L••••• T•• A•• F•••••••• P•••••••• L•• unclassified
Jul 23, 2009 to Nov 16, 2011 · Knoxville, Tn
W••••••• F•••••••• S•••••••• I••• former
Jan 5, 2009 to Aug 26, 2011 · Knoxville, Tn
S••••••• F•••••••• S•••••••• I••• former
Dec 10, 2004 to Jan 5, 2009 · Knoxville, Tn
S••••••• I••••••••• I••• former
Mar 25, 2004 to Dec 8, 2004 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

U••••••••• W••••• M••••••••• L•• to L•• F•••••••• L••
left Dec 7, 2021, registered Feb 23, 2024 (808 days) · RIA to affiliated broker-dealer or bank
S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••
left Oct 28, 2014, registered Jan 24, 2012 (-1008 days) · Other
N••• F•••••••• G••••• I••• to U••••••••• W••••• M••••••••• L••
left May 23, 2013, registered Oct 27, 2014 (522 days) · Other
U••••••••• W••••• M••••••••• L•• to N••• F•••••••• G••••• I•••
left Dec 5, 2012, registered May 3, 2013 (149 days) · Other
L••••• T•• A•• F•••••••• P•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Nov 16, 2011, registered Aug 1, 2011 (-107 days) · Other
W••••••• F•••••••• S•••••••• I••• to L••••• T•• A•• F•••••••• P•••••••• L••
left Aug 26, 2011, registered Jul 23, 2009 (-764 days) · Other
S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Jan 5, 2009, registered Jan 5, 2009 (0 days) · Other
S••••••• I••••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Dec 8, 2004, registered Dec 10, 2004 (2 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address