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

A••• B•••• Z•••••

L•• F•••••••• L••BD affiliatedMelbourne, Fl dual registrantIAPD 4548003

Certified Financial Planner

Feed of 09/15/2026

At current firm

3 y

since Jan 24, 2023

In the industry

24 y

since Nov 7, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Jan 24, 2023 · Oviedo, Fl
S•••••• F•••••••• G••••• L••••• independent RIA
Apr 20, 2022 to Aug 9, 2022 · Akron, Oh
T•••• A••••••• L•• state registered
Jan 4, 2021 to Apr 22, 2022 · Miami, Fl
F••••• I••••••••• independent RIA
Jan 23, 2013 to Dec 8, 2014 · Miami Beach, Fl
M••••••• A•••• M••••••••• L•• unclassified
Feb 27, 2006 to Jan 9, 2013 · Miami Beach, Fl
U••• I••••••••• S••••••• C•••••• no RAUM
Mar 24, 2003 to Sep 6, 2005 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

S•••••• F•••••••• G••••• L••••• to L•• F•••••••• L••
left Aug 9, 2022, registered Jan 24, 2023 (168 days) · RIA to RIA
T•••• A••••••• L•• to S•••••• F•••••••• G••••• L•••••
left Apr 22, 2022, registered Apr 20, 2022 (-2 days) · Other
F••••• I••••••••• to T•••• A••••••• L••
left Dec 8, 2014, registered Jan 4, 2021 (2219 days) · Other
M••••••• A•••• M••••••••• L•• to F••••• I•••••••••
left Jan 9, 2013, registered Jan 23, 2013 (14 days) · Other
U••• I••••••••• S••••••• C•••••• to M••••••• A•••• M••••••••• L••
left Sep 6, 2005, registered Feb 27, 2006 (174 days) · Other

Signals

A••• B•••• Z••••• left S•••••• F•••••••• G••••• L••••• for L•• F•••••••• L•• (registered 2023-01-24)
Aug 9, 2022 · Advisor changed firm · fact
A••• B•••• Z••••• left T•••• A••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2022-04-20)
Apr 22, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address