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

M••• W•••••• V•••••

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••independent RIAPhoenix, Az dual registrantIAPD 4475388

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Aug 1, 2023

In the industry

24 y

since Jan 17, 2002 (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

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA current
since Aug 1, 2023 · Oviedo, Fl
A••••••• P••••••••• A•••••••• I•• former
Oct 19, 2015 to Aug 1, 2023 · Oviedo, Fl
B••• F•••••••• S•••••••• L•• independent RIA
Jun 2, 2015 to Oct 19, 2015 · Winter Park, Fl
I••••• F•••••••• C••••••••• former
Jan 12, 2010 to May 22, 2015 · Maitland, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 27, 2006 to Mar 14, 2008 · Orlando, Fl
E•••••••• A•••••••• L•• national BD
Oct 1, 2002 to Nov 7, 2006 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Aug 1, 2023, registered Aug 1, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
B••• F•••••••• S•••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Oct 19, 2015, registered Oct 19, 2015 (0 days) · Other
I••••• F•••••••• C••••••••• to B••• F•••••••• S•••••••• L••
left May 22, 2015, registered Jun 2, 2015 (11 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••
left Mar 14, 2008, registered Jan 12, 2010 (669 days) · Other
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 7, 2006, registered Nov 27, 2006 (20 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M••• W•••••• V••••• left A••••••• P••••••••• A•••••••• I•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2023-08-01)
Aug 1, 2023 · 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address