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•••••• S• N•••••

R•••••• J•••• • A••••••••• I•••national BDNeptune Beach, Fl dual registrantIAPD 4692731

Feed of 09/15/2026

Also filed as C•••••• Wicker Solomon

At current firm

2 y

since Sep 21, 2023

In the industry

22 y

since Oct 3, 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

R•••••• J•••• • A••••••••• I••• national BD current
since Sep 21, 2023 · St. Petersburg, Fl
K••••• P•••••• W••••• S•••••••• L•• BD affiliated
Mar 6, 2020 to Aug 31, 2023 · Ponte Vedra Beach, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 9, 2010 to Mar 16, 2020 · Ponte Vedra Beach, Fl
U•• F•••••••• S••••••• I••• wirehouse
Nov 14, 2008 to Nov 18, 2010 · Ponte Vedra Beach, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 11, 2004 to Nov 18, 2008 · Ponte Vedra Beach, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 9, 2003 to Nov 11, 2003 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

K••••• P•••••• W••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Aug 31, 2023, registered Sep 21, 2023 (21 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• P•••••• W••••• S•••••••• L••
left Mar 16, 2020, registered Mar 6, 2020 (-10 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 18, 2010, registered Dec 9, 2010 (21 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Nov 18, 2008, registered Nov 14, 2008 (-4 days) · Wirehouse to wirehouse
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 11, 2003, registered Feb 11, 2004 (92 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C•••••• S• N••••• left K••••• P•••••• W••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-09-21)
Aug 31, 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address