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

C•••• R••••• O••••

T••••• A••••••• S•••••••• I•••BD affiliatedWindermere, Fldual registrantIAPD 5518128

Feed of 09/14/2026

Also filed as C•••• R. O••••

At current firm

0 y

since Oct 7, 2025

In the industry

18 y

since Jun 18, 2008 (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

T••••• A••••••• S•••••••• I••• BD affiliated current
since Oct 7, 2025 · Windermere, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 27, 2011 to Oct 2, 2025 · Clermont, Fl
C•••• I••••••••• S••••••• C•••• former
Dec 13, 2010 to Oct 5, 2011 · Orlando, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 22, 2010 to Dec 2, 2010 · Orlando, Fl
M••••• K••••• • C••••••• L•• former
Oct 6, 2008 to Dec 31, 2009 · Ocoee, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 20, 2008 to Jul 17, 2008 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••
left Oct 2, 2025, registered Oct 7, 2025 (5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 5, 2011, registered Oct 27, 2011 (22 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Dec 2, 2010, registered Dec 13, 2010 (11 days) · Other
M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 31, 2009, registered Jul 22, 2010 (203 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M••••• K••••• • C••••••• L••
left Jul 17, 2008, registered Oct 6, 2008 (81 days) · Other

Signals

C•••• R••••• O•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T••••• A••••••• S•••••••• I••• (registered 2025-10-07)
Oct 2, 2025 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address