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•••• P•••••• J••••

C••••• W••••• P•••••••independent RIALake Mary, Fl IA-onlyIAPD 4861379

Feed of 09/14/2026

Also filed as S•••• J••••

At current firm

2 y

since Aug 30, 2024

In the industry

21 y

since Dec 3, 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

C••••• W••••• P••••••• independent RIA current
since Aug 30, 2024 · Lake Mary, Fl
B•••• W•••••• L•• former
May 31, 2022 to Sep 9, 2024 · Lake Mary, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 1, 2006 to May 23, 2022 · Lake Mary, Fl
U•• F•••••••• S••••••• I••• wirehouse
Dec 8, 2004 to Aug 10, 2006 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

B•••• W•••••• L•• to C••••• W••••• P•••••••
left Sep 9, 2024, registered Aug 30, 2024 (-10 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••• W•••••• L••
left May 23, 2022, registered May 31, 2022 (8 days) · Wirehouse to independent RIA · moved with a team
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 10, 2006, registered Aug 1, 2006 (-9 days) · Wirehouse to wirehouse

Signals

S•••• P•••••• J•••• left B•••• W•••••• L•• for C••••• W••••• P••••••• (registered 2024-08-30)
Sep 9, 2024 · Advisor changed firm · fact
S•••• P•••••• J•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for B•••• W•••••• L•• (registered 2022-05-31)
May 23, 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address