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••••• R••• S•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedBoca Raton, Fldual registrantIAPD 6085440

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••••• S•••••

At current firm

0 y

since Mar 16, 2026

In the industry

12 y

since Nov 1, 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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Mar 16, 2026 · Boca Raton, Fl
R••••••• W••••• M••••••••• independent RIA
Jan 12, 2026 to Feb 17, 2026 · Boca Raton, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 18, 2022 to Jan 2, 2026 · Boca Raton, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Sep 27, 2016 to Jan 19, 2022 · Fort Lauderdale, Fl
S••••••• I••••••••• S•••••••• I••• former
Aug 26, 2016 to Dec 31, 2016 · Fort Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

R••••••• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Feb 17, 2026, registered Mar 16, 2026 (27 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••• W••••• M•••••••••
left Jan 2, 2026, registered Jan 12, 2026 (10 days) · Wirehouse to independent RIA
T••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 19, 2022, registered Feb 18, 2022 (30 days) · Affiliated broker-dealer or bank to wirehouse
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Sep 27, 2016 (-95 days) · corporate re-registration, not a move

Signals

S••••• R••• S••••• left R••••••• W••••• M••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-03-16)
Feb 17, 2026 · Advisor changed firm · fact
S••••• R••• S••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••• W••••• M••••••••• (registered 2026-01-12)
Jan 2, 2026 · Advisor changed firm · fact
S••••• R••• S••••• left T••••• A••••••• S•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-02-18)
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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address