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••••• D•••

C••••• I••••••••• A••••••• L••BD affiliatedWest Palm Beach, Fldual registrantIAPD 5956431

Feed of 09/14/2026

At current firm

0 y

since Feb 2, 2026

In the industry

15 y

since Aug 23, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, 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••••• I••••••••• A••••••• L•• BD affiliated current
since Feb 2, 2026 · West Palm Beach, Fl
V••••• W••••• M•••••••• I••• independent RIA
Sep 24, 2025 to Dec 15, 2025 · West Palm Beach, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 1, 2017 to Aug 16, 2021 · Mount Laurel, Nj
T••••• A••••••• S•••••••• I••• BD affiliated
Sep 12, 2016 to Jul 10, 2017 · Nashville, Tn
S••••••• I••••••••• S•••••••• I••• former
Jan 6, 2015 to Dec 31, 2016 · Nashville, Tn
A••••• A•• P••••••• S••••••• BD affiliated
Sep 3, 2014 to Dec 11, 2014 · Philadelphia, Pa
C••••••• S••••••••• I••• BD affiliated
Jul 2, 2013 to Aug 14, 2014 · Plymouth Meeting, Pa

Moves

a registration end followed by a registration begin elsewhere

V••••• W••••• M•••••••• I••• to C••••• I••••••••• A••••••• L••
left Dec 15, 2025, registered Feb 2, 2026 (49 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to V••••• W••••• M•••••••• I•••
left Aug 16, 2021, registered Sep 24, 2025 (1500 days) · Affiliated broker-dealer or bank to independent RIA
T••••• A••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 10, 2017, registered Aug 1, 2017 (22 days) · Other
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Sep 12, 2016 (-110 days) · corporate re-registration, not a move
A••••• A•• P••••••• S••••••• to S••••••• I••••••••• S•••••••• I•••
left Dec 11, 2014, registered Jan 6, 2015 (26 days) · Other
C••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••
left Aug 14, 2014, registered Sep 3, 2014 (20 days) · Other

Signals

S••••• D••• left V••••• W••••• M•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-02-02)
Dec 15, 2025 · 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