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•••••• E••• M•••••

C••••• I••••••••• A••••••• L••BD affiliatedBeverly Hills, Fldual registrantIAPD 5637114

Feed of 09/19/2026

Also filed as N•••••• M•••••

At current firm

0 y

since Sep 18, 2026

In the industry

16 y

since Sep 29, 2009 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 18, 2026 · Beverly Hills, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Jan 15, 2025 to Sep 2, 2026 · Clermont, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 13, 2024 to Dec 20, 2024 · Tampa, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Nov 23, 2016 to Dec 15, 2023 · Orlando, Fl
S••••••• I••••••••• S•••••••• I••• former
Nov 22, 2016 to Dec 31, 2016 · Orlando, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 8, 2016 to Nov 28, 2016 · Longwood, Fl
S••••••• I••••••••• S•••••••• I••• former
Jul 22, 2014 to Feb 24, 2016 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Sep 2, 2026, registered Sep 18, 2026 (16 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to T••••• A••••••• S•••••••• I•••
left Dec 20, 2024, registered Jan 15, 2025 (26 days) · Affiliated broker-dealer or bank to another
T••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Dec 15, 2023, registered Feb 13, 2024 (60 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Nov 23, 2016 (-38 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• S•••••••• I•••
left Nov 28, 2016, registered Nov 22, 2016 (-6 days) · Other
S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 24, 2016, registered Mar 8, 2016 (13 days) · Other

Signals

N•••••• E••• M••••• registered as an investment adviser representative at C••••• I••••••••• A••••••• L••
Sep 18, 2026 · Advisor registered · fact
N•••••• E••• M••••• left T••••• A••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-09-18)
Sep 2, 2026 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address