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

L•••• R•••••• R••••

B••••• G••••• A•••• M•••••••••BD affiliatedMiami, Fl dual registrantIAPD 6029752

Feed of 09/14/2026

At current firm

1 y

since Apr 14, 2025

In the industry

13 y

since May 21, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••• G••••• A•••• M••••••••• BD affiliated current
since Apr 14, 2025 · Miami, Fl
F•••••• A•••••••• L•• former
Apr 24, 2024 to Apr 5, 2025 · Stamford, Ct
F•••••• A••••••• S••••••••• C•••• mixed wealth
Jan 11, 2024 to Apr 16, 2024 · Miami, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Mar 9, 2023 to Jan 2, 2024 · Ft. Lauderdale, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 1, 2021 to Feb 14, 2023 · Miami, Fl
I•••••• S••••••••• I••• mixed wealth
Jan 23, 2018 to Sep 3, 2019 · Highland Park, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 8, 2016 to Jun 28, 2017 · Miami, Fl
B••••• G••••• A•••• M••••••••• BD affiliated
Jul 2, 2014 to Jan 29, 2016 · Miami, Fl
C• C•••••• S••••••••• I••• former
Aug 29, 2013 to Mar 10, 2014 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

F•••••• A•••••••• L•• to B••••• G••••• A•••• M•••••••••
left Apr 5, 2025, registered Apr 14, 2025 (9 days) · Other
F•••••• A••••••• S••••••••• C•••• to F•••••• A•••••••• L••
left Apr 16, 2024, registered Apr 24, 2024 (8 days) · RIA to a newly registered adviser
T••••• A••••••• S•••••••• I••• to F•••••• A••••••• S••••••••• C••••
left Jan 2, 2024, registered Jan 11, 2024 (9 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• G••••• M•••••• I••• to T••••• A••••••• S•••••••• I•••
left Feb 14, 2023, registered Mar 9, 2023 (23 days) · Affiliated broker-dealer or bank to another
I•••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 3, 2019, registered Nov 1, 2021 (790 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I•••••• S••••••••• I•••
left Jun 28, 2017, registered Jan 23, 2018 (209 days) · Other
B••••• G••••• A•••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 29, 2016, registered Feb 8, 2016 (10 days) · Other
C• C•••••• S••••••••• I••• to B••••• G••••• A•••• M•••••••••
left Mar 10, 2014, registered Jul 2, 2014 (114 days) · Other

Signals

L•••• R•••••• R•••• left F•••••• A•••••••• L•• for B••••• G••••• A•••• M••••••••• (registered 2025-04-14)
Apr 5, 2025 · Advisor changed firm · fact
L•••• R•••••• R•••• left F•••••• A••••••• S••••••••• C•••• for F•••••• A•••••••• L•• (registered 2024-04-24)
Apr 16, 2024 · Advisor changed firm · fact
L•••• R•••••• R•••• left T••••• A••••••• S•••••••• I••• for F•••••• A••••••• S••••••••• C•••• (registered 2024-01-11)
Jan 2, 2024 · Advisor changed firm · fact
L•••• R•••••• R•••• left C•••••••• G••••• M•••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2023-03-09)
Feb 14, 2023 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address