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

A••••• E• R••••••••

I••••••••• F•••••••• P•••••••BD affiliatedTampa, Fl dual registrantIAPD 6219567

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as Alex Rodriguez

At current firm

1 y

since Aug 12, 2025

In the industry

12 y

since Sep 19, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• F•••••••• P••••••• BD affiliated current
since Aug 12, 2025 · Fort Lauderdale, Fl
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Sep 21, 2023 to May 16, 2025 · Coral Gables, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 22, 2021 to May 19, 2023 · New Haven, Ct
P••••••••• S••••••••• C••••••••• i••••••••• wealth
Dec 12, 2018 to Feb 12, 2021 · Irvington, Ny
L•••• A••••• • C•• L•• asset manager
Dec 17, 2015 to Sep 12, 2017 · Jersey City, Nj
E•••••••• A•••••••• L•• national BD
Jul 15, 2015 to Dec 14, 2015 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to I••••••••• F•••••••• P•••••••
left May 16, 2025, registered Aug 12, 2025 (88 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••
left May 19, 2023, registered Sep 21, 2023 (125 days) · Other
P••••••••• S••••••••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 12, 2021, registered Jun 22, 2021 (130 days) · RIA to affiliated broker-dealer or bank
L•••• A••••• • C•• L•• to P••••••••• S••••••••• C•••••••••
left Sep 12, 2017, registered Dec 12, 2018 (456 days) · Other
E•••••••• A•••••••• L•• to L•••• A••••• • C•• L••
left Dec 14, 2015, registered Dec 17, 2015 (3 days) · Other

Signals

A••••• E• R•••••••• left N••••••••• M••••• I••••••••• S••••••••• for I••••••••• F•••••••• P••••••• (registered 2025-08-12)
May 16, 2025 · Advisor changed firm · fact
A••••• E• R•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-09-21)
May 19, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address