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

T•••• A•••••••

M••••• S••••••wirehouseSarasota, Fldual registrantIAPD 5590570

Feed of 09/14/2026

Also filed as T•••• A•••••••

At current firm

1 y

since Oct 16, 2024

In the industry

14 y

since Aug 9, 2012 (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

M••••• S•••••• wirehouse current
since Oct 16, 2024 · Sarasota, Fl
R•••••• J•••• • A••••••••• I••• national BD
Feb 4, 2021 to Oct 15, 2024 · Sarasota, Fl
N••••••• T•••• S••••••••• I•• BD affiliated
Sep 1, 2017 to Jan 29, 2021 · Sarasota, Fl
W•••• F•••• A••••••• wirehouse
Apr 19, 2013 to Jun 20, 2017 · Sarasota, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 18, 2012 to Apr 17, 2013 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to M••••• S••••••
left Oct 15, 2024, registered Oct 16, 2024 (1 days) · Affiliated broker-dealer or bank to wirehouse
N••••••• T•••• S••••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Jan 29, 2021, registered Feb 4, 2021 (6 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to N••••••• T•••• S••••••••• I••
left Jun 20, 2017, registered Sep 1, 2017 (73 days) · Other
A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Apr 17, 2013, registered Apr 19, 2013 (2 days) · Affiliated broker-dealer or bank to wirehouse

Signals

T•••• A••••••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2024-10-16)
Oct 15, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address