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••••• R•••••• P•••••

R•••••• J•••• • A••••••••• I•••national BDWinter Park, Fldual registrantIAPD 5383185

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Jan 7, 2025

In the industry

18 y

since Nov 13, 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

R•••••• J•••• • A••••••••• I••• national BD current
since Jan 7, 2025 · Winter Park, Fl
C•••••• S••••• • C••• I••• national BD
Mar 2, 2015 to Dec 22, 2024 · Orlando, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 8, 2008 to Feb 19, 2015 · Altamonte Springs, Fl
T• A••••••••• I••• former
Apr 8, 2008 to Feb 19, 2015 · Westlake, Tx
M••••• S•••••• • C•• L•• unclassified
Nov 15, 2007 to Apr 2, 2008 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••
left Dec 22, 2024, registered Jan 7, 2025 (16 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 19, 2015, registered Apr 8, 2008 (-2508 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Feb 19, 2015, registered Mar 2, 2015 (11 days) · Other
M••••• S•••••• • C•• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 2, 2008, registered Apr 8, 2008 (6 days) · Other

Signals

S••••• R•••••• P••••• left C•••••• S••••• • C••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-01-07)
Dec 22, 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address