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

N••• A•••••• F••••

F••••• I•••••••••independent RIAPlano, Tx IA-onlyIAPD 6096209

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••• F••••

At current firm

0 y

since Nov 17, 2025

In the industry

13 y

since Mar 14, 2013 (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

F••••• I••••••••• independent RIA current
since Nov 17, 2025 · Boca Raton, Fl
C•••••• S••••• • C••• I••• national BD
Mar 11, 2022 to Oct 20, 2025 · Fort Lauderdale, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 28, 2016 to Sep 7, 2023 · New York, Ny
T• A••••••••• I••• former
Jul 25, 2016 to Oct 14, 2022 · New York, Ny
E•••••••• A•••••••• L•• national BD
Oct 16, 2013 to Jun 30, 2016 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to F••••• I•••••••••
left Oct 20, 2025, registered Nov 17, 2025 (28 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Mar 11, 2022 (-545 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jul 28, 2016 (-2269 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to T• A••••••••• I•••
left Jun 30, 2016, registered Jul 25, 2016 (25 days) · Other

Signals

N••• A•••••• F•••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2025-11-17)
Oct 20, 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address