DFX Intelligence

RIA Intelligence

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Registered advisor

G•••••••• A••••• A•••••

C•••••• S••••• • C••• I•••national BDPlantation, Fldual registrantIAPD 4625361

Feed of 09/14/2026

At current firm

1 y

since Oct 30, 2024

In the industry

23 y

since Apr 7, 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

C•••••• S••••• • C••• I••• national BD current
since Oct 30, 2024 · Plantation, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
May 19, 2022 to Oct 25, 2024 · Coral Gables, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 19, 2019 to Apr 29, 2022 · Miami, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to May 17, 2019 · Miami, Fl
C••••••• I••••••••• S••••••• unclassified
Jul 8, 2005 to May 29, 2007 · Miami, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 10, 2003 to Mar 1, 2004 · Plantation, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Oct 25, 2024, registered Oct 30, 2024 (5 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 29, 2022, registered May 19, 2022 (20 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••
left May 17, 2019, registered Nov 19, 2019 (186 days) · Affiliated broker-dealer or bank to another
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• S•••••••
left Mar 1, 2004, registered Jul 8, 2005 (494 days) · Other

Signals

G•••••••• A••••• A••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2024-10-30)
Oct 25, 2024 · Advisor changed firm · fact
G•••••••• A••••• A••••• left C••••• I••••••••• A••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-19)
Apr 29, 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address