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

P••••• C••••••

M••••• S••••••wirehouseFort Lauderdale, Fldual registrantIAPD 4862209

Feed of 09/14/2026

Also filed as P••••• R C••••••

At current firm

0 y

since Sep 25, 2025

In the industry

19 y

since Mar 14, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• S•••••• wirehouse current
since Sep 25, 2025 · Fort Lauderdale, Fl
C•••••• S••••• • C••• I••• national BD
Jun 14, 2021 to Sep 17, 2025 · Coral Gables, Fl
H•••••• • W•••• A•••• M••••••••• I••• BD affiliated
Mar 18, 2021 to May 26, 2021 · Parsippany, Nj
E•••••• F•••••••• E•••••• independent RIA
Oct 26, 2018 to Aug 7, 2020 · New York, Ny
E•••••• F•••••••• S•••••••• L•• former
Jun 26, 2012 to Nov 1, 2018 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M••••• S••••••
left Sep 17, 2025, registered Sep 25, 2025 (8 days) · Affiliated broker-dealer or bank to wirehouse
H•••••• • W•••• A•••• M••••••••• I••• to C•••••• S••••• • C••• I•••
left May 26, 2021, registered Jun 14, 2021 (19 days) · Affiliated broker-dealer or bank to another
E•••••• F•••••••• E•••••• to H•••••• • W•••• A•••• M••••••••• I•••
left Aug 7, 2020, registered Mar 18, 2021 (223 days) · RIA to affiliated broker-dealer or bank
E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••
left Nov 1, 2018, registered Oct 26, 2018 (-6 days) · corporate re-registration, not a move

Signals

P••••• C•••••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2025-09-25)
Sep 17, 2025 · 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: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address