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

S•••• A• S•••••••••

R••••••• W••••• M••••••••• I•••mixed wealthTampa, Fl IA-onlyIAPD 4724573

Feed of 09/14/2026

Also filed as S•••• A• S•••••••••

At current firm

0 y

since Apr 24, 2026

In the industry

22 y

since Jan 9, 2004 (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••••••• W••••• M••••••••• I••• mixed wealth current
since Apr 24, 2026 · Tulsa, Ok
T••••• W••••• I••••••••• S•••••••• I••• institutional
Nov 14, 2024 to Jun 11, 2026 · Tampa, Fl
W••••• T••••• W••••• S••••••••• L•• former
Dec 21, 2022 to Jan 5, 2024 · New York, Ny
K••••• A••••••• S•••••••• L•• BD affiliated
Aug 19, 2021 to Sep 18, 2023 · Tampa, Fl
W•••• F•••• A••••••• wirehouse
May 31, 2007 to Aug 6, 2021 · Tampa, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 13, 2005 to Mar 26, 2007 · Tampa, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 25, 2004 to Dec 15, 2004 · Durham, Nc

Moves

a registration end followed by a registration begin elsewhere

T••••• W••••• I••••••••• S•••••••• I••• to R••••••• W••••• M••••••••• I•••
left Jun 11, 2026, registered Apr 24, 2026 (-48 days) · Other
W••••• T••••• W••••• S••••••••• L•• to T••••• W••••• I••••••••• S•••••••• I•••
left Jan 5, 2024, registered Nov 14, 2024 (314 days) · Other
K••••• A••••••• S•••••••• L•• to W••••• T••••• W••••• S••••••••• L••
left Sep 18, 2023, registered Dec 21, 2022 (-271 days) · Other
W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••
left Aug 6, 2021, registered Aug 19, 2021 (13 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Mar 26, 2007, registered May 31, 2007 (66 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Dec 15, 2004, registered Jul 13, 2005 (210 days) · Other

Signals

S•••• A• S••••••••• left T••••• W••••• I••••••••• S•••••••• I••• for R••••••• W••••• M••••••••• I••• (registered 2026-04-24)
Jun 11, 2026 · Advisor changed firm · fact
S•••• A• S••••••••• left W••••• T••••• W••••• S••••••••• L•• for T••••• W••••• I••••••••• S•••••••• I••• (registered 2024-11-14)
Jan 5, 2024 · Advisor changed firm · fact
S•••• A• S••••••••• left K••••• A••••••• S•••••••• L•• for W••••• T••••• W••••• S••••••••• L•• (registered 2022-12-21)
Sep 18, 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: Wealth manager with institutional or fund businessderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address