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

N••••••• D••••• R•••••

L•• F•••••••• L••BD affiliatedBoynton Beach, Fldual registrantIAPD 5127230

Feed of 09/14/2026

Also filed as N••••••• D R•••••

At current firm

2 y

since Apr 25, 2024

In the industry

20 y

since Jun 20, 2006 (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 Apr 25, 2024 · Boynton Beach, Fl
C•••••• A••••••• BD affiliated
Jan 29, 2019 to Apr 25, 2024 · Boca Raton, Fl
L•••••• I••••••••• independent RIA
Jan 17, 2019 to Apr 25, 2024 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Aug 16, 2010 to Jan 4, 2019 · Boca Raton, Fl
T• A••••••••• I••• former
Oct 24, 2007 to Sep 21, 2009 · Boca Raton, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 24, 2007 to Sep 21, 2009 · Boca Raton, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 23, 2007 to Oct 25, 2007 · Boca Raton, Fl
O•••• F•• I••• former
May 8, 2007 to Aug 7, 2007 · Boca Raton, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 22, 2006 to Apr 13, 2007 · Palm Beach Gardens, Fl

Moves

a registration end followed by a registration begin elsewhere

L•••••• I••••••••• to C•••••• A•••••••
left Apr 25, 2024, registered Jan 29, 2019 (-1913 days) · RIA to affiliated broker-dealer or bank · moved with a team
C•••••• A••••••• to L•• F•••••••• L••
left Apr 25, 2024, registered Apr 25, 2024 (0 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to L•••••• I•••••••••
left Jan 4, 2019, registered Jan 17, 2019 (13 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 21, 2009, registered Oct 24, 2007 (-698 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••
left Sep 21, 2009, registered Aug 16, 2010 (329 days) · Other
C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••
left Oct 25, 2007, registered Oct 24, 2007 (-1 days) · Other
O•••• F•• I••• to C•••••••• G••••• M•••••• I•••
left Aug 7, 2007, registered Aug 23, 2007 (16 days) · Other
A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••
left Apr 13, 2007, registered May 8, 2007 (25 days) · Other

Signals

N••••••• D••••• R••••• left C•••••• A••••••• for L•• F•••••••• L•• (registered 2024-04-25)
Apr 25, 2024 · Advisor changed firm · fact
N••••••• D••••• R••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2019-01-29)
Apr 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address