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••••• L•••• H••••••••

L•• F•••••••• L••BD affiliatedNaples, Fl dual registrantIAPD 4511545

Feed of 09/15/2026

At current firm

0 y

since Jan 1, 2026

In the industry

23 y

since Feb 6, 2003 (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 Jan 1, 2026 · Naples, Fl
W•••• F•••• A••••••• wirehouse
May 20, 2016 to Sep 30, 2024 · Naples, Fl
F•••• T•••• S••••••••• I••• BD affiliated
Jul 26, 2007 to May 23, 2016 · Naples, Fl
S••••••• I••••••••• S•••••••• I••• former
Jul 1, 2004 to Jul 10, 2007 · Delray Beach, Fl
U•• F•••••••• S••••••• I••• wirehouse
Feb 12, 2003 to Jan 14, 2004 · Fort Myers, Fl

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Sep 30, 2024, registered Jan 1, 2026 (458 days) · Wirehouse to affiliated broker-dealer or bank
F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••
left May 23, 2016, registered May 20, 2016 (-3 days) · Other
S••••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••
left Jul 10, 2007, registered Jul 26, 2007 (16 days) · Other
U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left Jan 14, 2004, registered Jul 1, 2004 (169 days) · Other

Signals

C••••• L•••• H•••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2026-01-01)
Sep 30, 2024 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address