DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
3 y
since Feb 28, 2023
In the industry
13 y
since Feb 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• W••••• M••••••••• state registered currentsince Feb 28, 2023 · Naples, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 1, 2015 to Mar 23, 2023 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to C••••••• W••••• M•••••••••left Mar 23, 2023, registered Feb 28, 2023 (-23 days) · Other
Signals
- T••• T•••• left N••••••••• M••••• I••••••••• S••••••••• for C••••••• W••••• M••••••••• (registered 2023-02-28)Mar 23, 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address