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•••• W••••• S•••••

M••••• G••••• A••••••• I•••independent RIAPonte Vedra Beach, Fl IA-onlyIAPD 4916509

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Dec 6, 2023

In the industry

18 y

since Sep 26, 2007 (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

M••••• G••••• A••••••• I••• independent RIA current
since Dec 6, 2023 · Ponte Vedra Beach, Fl
P•••••• W••••• S••••••••• L••• former
Oct 16, 2020 to Mar 6, 2024 · Jacksonville, Fl
M••••• M•••• M••••••••• L•• unclassified
Nov 9, 2016 to Mar 14, 2021 · Ponte Vedra, Fl
C••••••••• F•••••••• N•••••• national BD
Sep 28, 2015 to Oct 18, 2016 · Powell, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Jun 15, 2009 to Oct 14, 2015 · Dublin, Oh
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Apr 15, 2009 · Columbus, Oh
A• G• E•••••• • S•••• I••• unclassified
Sep 26, 2007 to Jan 1, 2008 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

P•••••• W••••• S••••••••• L••• to M••••• G••••• A••••••• I•••
left Mar 6, 2024, registered Dec 6, 2023 (-91 days) · RIA to RIA · moved with a team
M••••• M•••• M••••••••• L•• to P•••••• W••••• S••••••••• L•••
left Mar 14, 2021, registered Oct 16, 2020 (-149 days) · Other
C••••••••• F•••••••• N•••••• to M••••• M•••• M••••••••• L••
left Oct 18, 2016, registered Nov 9, 2016 (22 days) · Other
H••••••••• F•••••••• A••••••• to C••••••••• F•••••••• N••••••
left Oct 14, 2015, registered Sep 28, 2015 (-16 days) · Other
W•••• F•••• A••••••• to H••••••••• F•••••••• A•••••••
left Apr 15, 2009, registered Jun 15, 2009 (61 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

S•••• W••••• S••••• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)
Mar 6, 2024 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address