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•••••••• B•••••• D•••••

S•••••• S••••••••• I•••BD affiliatedSarasota, Fl dual registrantIAPD 5542494

Feed of 09/15/2026

Also filed as S•••••••• Ashton B••••••

At current firm

4 y

since May 18, 2022

In the industry

15 y

since Aug 9, 2011 (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

S•••••• S••••••••• I••• BD affiliated current
since May 18, 2022 · Port Charlotte, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Aug 1, 2017 to May 4, 2022 · Lakewood Ranch, Fl
W•••• F•••• A••••••• wirehouse
May 21, 2013 to Jul 13, 2017 · Naples, Fl
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to May 8, 2013 · Sarasota, Fl
M••••• K••••• • C••••••• L•• former
Aug 11, 2011 to Feb 13, 2013 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to S•••••• S••••••••• I•••
left May 4, 2022, registered May 18, 2022 (14 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••
left Jul 13, 2017, registered Aug 1, 2017 (19 days) · Other · moved with a team
R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
left May 8, 2013, registered May 21, 2013 (13 days) · Affiliated broker-dealer or bank to wirehouse
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move

Signals

S•••••••• B•••••• D••••• left T••••• A••••••• S•••••••• I••• for S•••••• S••••••••• I••• (registered 2022-05-18)
May 4, 2022 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address