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.

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Registered advisor

B•••• F••••••

M••••• S••••••wirehouseMarco Island, Fl dual registrantIAPD 6103119

Feed of 09/15/2026

At current firm

1 y

since Oct 17, 2024

In the industry

13 y

since Nov 17, 2012 (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

M••••• S•••••• wirehouse current
since Oct 17, 2024 · Naples, Fl
U•• F•••••••• S••••••• I••• wirehouse
Jan 31, 2020 to Oct 22, 2024 · West Palm Beach, Fl
M••••• S•••••• wirehouse
Dec 7, 2017 to Jan 13, 2020 · Palo Alto, Ca
W•••• F•••• A••••••• wirehouse
Jul 11, 2016 to Dec 15, 2017 · Charlotte, Nc
I•••••••• C•••••• A••••••• former
Jul 16, 2015 to Jun 28, 2016 · Lynnfield, Ma
F••••• I••••••••• independent RIA
Sep 22, 2014 to Jan 21, 2015 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 20, 2012 to Aug 27, 2014 · Andover, Ma

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to M••••• S••••••
left Oct 22, 2024, registered Oct 17, 2024 (-5 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Jan 13, 2020, registered Jan 31, 2020 (18 days) · Wirehouse to wirehouse · moved with a team
W•••• F•••• A••••••• to M••••• S••••••
left Dec 15, 2017, registered Dec 7, 2017 (-8 days) · Wirehouse to wirehouse
I•••••••• C•••••• A••••••• to W•••• F•••• A•••••••
left Jun 28, 2016, registered Jul 11, 2016 (13 days) · Other
F••••• I••••••••• to I•••••••• C•••••• A•••••••
left Jan 21, 2015, registered Jul 16, 2015 (176 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Aug 27, 2014, registered Sep 22, 2014 (26 days) · Other

Signals

B•••• F•••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2024-10-17)
Oct 22, 2024 · 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address