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••••• R•••••

L•• F•••••••• L••BD affiliatedPalm Beach Gardens, Fldual registrantIAPD 4701782

Feed of 09/14/2026

At current firm

3 y

since Dec 14, 2022

In the industry

22 y

since Dec 15, 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 Dec 14, 2022 · Palm Beach Gardens, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 2, 2016 to Dec 13, 2022 · Palm Beach Gardens, Fl
E•••••••• A•••••••• L•• national BD
Jul 1, 2016 to Jul 27, 2016 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Jul 20, 2012 to May 12, 2016 · Lake Worth, Fl
C•••• I••••••••• S••••••• C•••• former
Apr 21, 2010 to Jul 9, 2012 · Lantana, Fl
N••• C••••••••• BD affiliated
May 28, 2009 to Mar 19, 2010 · Boca Raton, Fl
U•• F•••••••• S••••••• I••• wirehouse
Sep 8, 2005 to May 13, 2009 · Palm Beach Gardens, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 17, 2003 to Aug 24, 2005 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Dec 13, 2022, registered Dec 14, 2022 (1 days) · Wirehouse to independent RIA
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 27, 2016, registered Aug 2, 2016 (6 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to E•••••••• A•••••••• L••
left May 12, 2016, registered Jul 1, 2016 (50 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Jul 9, 2012, registered Jul 20, 2012 (11 days) · Other
N••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Mar 19, 2010, registered Apr 21, 2010 (33 days) · Other
U•• F•••••••• S••••••• I••• to N••• C•••••••••
left May 13, 2009, registered May 28, 2009 (15 days) · Other
A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••
left Aug 24, 2005, registered Sep 8, 2005 (15 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••••• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-12-14)
Dec 13, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address