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

D••••• P••••••

P•• W••••• M•••••••••BD affiliatedPort St. Lucie, Fldual registrantIAPD 5910676

Feed of 09/14/2026

Also filed as D••••• P••••••

At current firm

6 y

since Jan 27, 2020

In the industry

11 y

since Jan 1, 2015 (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

P•• W••••• M••••••••• BD affiliated current
since Jan 27, 2020 · Port St. Lucie, Fl
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 18, 2019 to Jan 8, 2020 · West Palm Bch, Fl
E•• F•••••••• A••••••• independent RIA
Dec 13, 2018 to Oct 2, 2019 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Jul 27, 2015 to Oct 31, 2018 · Miami, Fl
J••• M••••• S••••••••• L•• wirehouse
Apr 8, 2015 to Jun 17, 2015 · Weston, Fl

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to P•• W••••• M•••••••••
left Jan 8, 2020, registered Jan 27, 2020 (19 days) · Other
E•• F•••••••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Oct 2, 2019, registered Oct 18, 2019 (16 days) · Other
W•••• F•••• A••••••• to E•• F•••••••• A•••••••
left Oct 31, 2018, registered Dec 13, 2018 (43 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Jun 17, 2015, registered Jul 27, 2015 (40 days) · Wirehouse to wirehouse

Signals

No dated event on this person.

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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address