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••••• M••• H••••••••

C••••• • A••••••••• I•••independent RIATampa, Fl dual registrantIAPD 5781894

Feed of 09/14/2026

At current firm

1 y

since Jul 15, 2025

In the industry

16 y

since Jun 29, 2010 (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

C••••• • A••••••••• I••• independent RIA current
since Jul 15, 2025 · Tampa, Fl
H••••• A•••••••• I••• independent RIA
Apr 28, 2023 to Aug 12, 2025 · New York, Ny
Q•••• C•••••• M••••••••• mixed wealth
Jan 18, 2022 to May 1, 2023 · New York, Ny
W••••••••• S•••••• • C••• L•• independent RIA
Sep 4, 2019 to Jan 19, 2022 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 1, 2014 to Sep 12, 2019 · New York, Ny
R•• C•••••• M••••••• L•• national BD
Jan 30, 2013 to Dec 9, 2014 · Paramus, Nj
M••••• S•••••• wirehouse
Jul 2, 2010 to Feb 14, 2013 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

H••••• A•••••••• I••• to C••••• • A••••••••• I•••
left Aug 12, 2025, registered Jul 15, 2025 (-28 days) · RIA to RIA
Q•••• C•••••• M••••••••• to H••••• A•••••••• I•••
left May 1, 2023, registered Apr 28, 2023 (-3 days) · RIA to RIA
W••••••••• S•••••• • C••• L•• to Q•••• C•••••• M•••••••••
left Jan 19, 2022, registered Jan 18, 2022 (-1 days) · RIA to RIA
C•••••••• G••••• M•••••• I••• to W••••••••• S•••••• • C••• L••
left Sep 12, 2019, registered Sep 4, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
R•• C•••••• M••••••• L•• to C•••••••• G••••• M•••••• I•••
left Dec 9, 2014, registered Dec 1, 2014 (-8 days) · Other
M••••• S•••••• to R•• C•••••• M••••••• L••
left Feb 14, 2013, registered Jan 30, 2013 (-15 days) · Wirehouse to affiliated broker-dealer or bank

Signals

S••••• M••• H•••••••• left H••••• A•••••••• I••• for C••••• • A••••••••• I••• (registered 2025-07-15)
Aug 12, 2025 · Advisor changed firm · fact
S••••• M••• H•••••••• left Q•••• C•••••• M••••••••• for H••••• A•••••••• I••• (registered 2023-04-28)
May 1, 2023 · Advisor changed firm · fact
S••••• M••• H•••••••• left W••••••••• S•••••• • C••• L•• for Q•••• C•••••• M••••••••• (registered 2022-01-18)
Jan 19, 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: Independent wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address