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

B•••••• S•••••••

T••••• A••••••• S•••••••• I•••BD affiliatedPort Orange, Fldual registrantIAPD 5844607

Feed of 09/14/2026

Also filed as Brad Schwartz

At current firm

1 y

since Apr 16, 2025

In the industry

15 y

since Dec 16, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Apr 16, 2025 · Port Orange, Fl
E••••• J•••• national BD
Apr 22, 2024 to Apr 2, 2025 · Daytona Beach, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 20, 2019 to Apr 22, 2024 · Port Orange, Fl
K••••• S••••• • W••••• W••••• M••••••••• L•• independent RIA
Nov 28, 2018 to Feb 4, 2019 · Daytona Beach, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 14, 2017 to Nov 20, 2018 · Orange City, Fl
P•• W••••• M••••••••• BD affiliated
Oct 31, 2016 to Dec 13, 2017 · Oviedo, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 5, 2016 to Oct 11, 2016 · New Smyrna Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to T••••• A••••••• S•••••••• I•••
left Apr 2, 2025, registered Apr 16, 2025 (14 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Apr 22, 2024, registered Apr 22, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
K••••• S••••• • W••••• W••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 4, 2019, registered Feb 20, 2019 (16 days) · RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• S••••• • W••••• W••••• M••••••••• L••
left Nov 20, 2018, registered Nov 28, 2018 (8 days) · Wirehouse to independent RIA
P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 13, 2017, registered Dec 14, 2017 (1 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• A••••••• L•• to P•• W••••• M•••••••••
left Oct 11, 2016, registered Oct 31, 2016 (20 days) · Other

Signals

B•••••• S••••••• left E••••• J•••• for T••••• A••••••• S•••••••• I••• (registered 2025-04-16)
Apr 2, 2025 · Advisor changed firm · fact
B•••••• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2024-04-22)
Apr 22, 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: 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