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••••• P••••••

N••••• W••••• P•••••••independent RIABonita Springs, Fldual registrantIAPD 5474021

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••••• P••••••

At current firm

2 y

since Jun 28, 2024

In the industry

18 y

since Oct 1, 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

N••••• W••••• P••••••• independent RIA current
since Jun 28, 2024 · Bonita Springs, Fl
I•••••• W••••• L•• independent RIA
Jun 28, 2024 to Sep 30, 2024 · Mount Pleasant, Sc
I•••••• W••••• L•• independent RIA
Jul 17, 2023 to Jun 17, 2024 · Mount Pleasant, Sc
L•••••• W••••• M••••••••• L•• independent RIA
Feb 9, 2021 to Aug 4, 2023 · Naples, Fl
C••••••••• F••••••••• L•• former
Oct 25, 2019 to Dec 31, 2020 · N•••••, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Apr 23, 2019 · Boston, Ma
S•••••••• A••••••• L•• national BD
Feb 10, 2009 to Jul 13, 2018 · Morristown, Nj

Moves

a registration end followed by a registration begin elsewhere

I•••••• W••••• L•• to N••••• W••••• P•••••••
left Sep 30, 2024, registered Jun 28, 2024 (-94 days) · RIA to a newly registered adviser · moved with a team
L•••••• W••••• M••••••••• L•• to I•••••• W••••• L••
left Aug 4, 2023, registered Jul 17, 2023 (-18 days) · RIA to RIA · moved with a team
C••••••••• F••••••••• L•• to L•••••• W••••• M••••••••• L••
left Dec 31, 2020, registered Feb 9, 2021 (40 days) · RIA to RIA · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to C••••••••• F••••••••• L••
left Apr 23, 2019, registered Oct 25, 2019 (185 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

N••••• P•••••• left I•••••• W••••• L•• for N••••• W••••• P••••••• (registered 2024-06-28)
Sep 30, 2024 · Advisor changed firm · fact
N••••• P•••••• left L•••••• W••••• M••••••••• L•• for I•••••• W••••• L•• (registered 2023-07-17)
Aug 4, 2023 · 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