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••••••••• M• R•••

L•• F•••••••• L••BD affiliatedAltamonte Springs, Fl dual registrantIAPD 4476278

Feed of 09/15/2026

Also filed as C••••••••• M. R•••

At current firm

3 y

since Mar 7, 2023

In the industry

20 y

since Oct 19, 2005 (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 Mar 7, 2023 · Ocala, Fl
C••••• A••••••• L•• former
Mar 4, 2019 to Mar 2, 2023 · Ocala, Fl
L•• F•••••••• L•• BD affiliated
Jan 11, 2010 to Mar 18, 2019 · Ocala, Fl
S•••••• N••••••• • C••••••• I••••••••• national BD
Aug 14, 2009 to Oct 20, 2009 · Ocala, Fl
U•• F•••••••• S••••••• I••• wirehouse
Sep 25, 2007 to Aug 15, 2009 · Ocala, Fl
A• G• E•••••• • S•••• I••• unclassified
Oct 24, 2005 to Sep 27, 2007 · Ocala, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• L•• to L•• F•••••••• L••
left Mar 2, 2023, registered Mar 7, 2023 (5 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to C••••• A••••••• L••
left Mar 18, 2019, registered Mar 4, 2019 (-14 days) · RIA to affiliated broker-dealer or bank
S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••
left Oct 20, 2009, registered Jan 11, 2010 (83 days) · Other
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 15, 2009, registered Aug 14, 2009 (-1 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••
left Sep 27, 2007, registered Sep 25, 2007 (-2 days) · Other

Signals

C••••••••• M• R••• left C••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-03-07)
Mar 2, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address