DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••• S•••
Feed of 09/14/2026
At current firm
2 y
since Nov 27, 2023
In the industry
19 y
since Jun 25, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- P•• W••••• M••••••••• BD affiliated currentsince Nov 27, 2023 · Lake Worth, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 20, 2023 to Nov 16, 2023 · West Palm Beach, Fl
- W•••• F•••• A••••••• wirehouseJun 6, 2017 to Nov 9, 2022 · Royal Palm Beach, Fl
- P•• W••••• M••••••••• BD affiliatedAug 30, 2016 to Apr 28, 2017 · Wellington, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 16, 2014 to Nov 25, 2015 · Delray Beach, Fl
- S•••••••• A••••••• L•• national BDJan 31, 2011 to May 14, 2014 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Nov 16, 2023, registered Nov 27, 2023 (11 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 9, 2022, registered Jan 20, 2023 (72 days) · Wirehouse to wirehouse · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Apr 28, 2017, registered Jun 6, 2017 (39 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Nov 25, 2015, registered Aug 30, 2016 (279 days) · Other
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 14, 2014, registered Jul 16, 2014 (63 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedNov 16, 2023 · Advisor changed firm · fact
- ••• LockedNov 9, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address