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

C•••••• P••••••

J••• M••••• S••••••••• L••wirehouseHeathrow , Fl dual registrantIAPD 6548205

Feed of 09/15/2026

At current firm

0 y

since Sep 19, 2025

In the industry

11 y

since Aug 1, 2015 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 19, 2025 · Irvine, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Sep 11, 2025 · Apopka, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 9, 2024 to Mar 31, 2025 · Altamonte Springs, Fl
S••••• W••••• A•••••••• I••• no RAUM
Jun 21, 2019 to Sep 11, 2024 · Orlando, Fl
C•••••• S••••• • C••• I••• national BD
Jun 16, 2017 to Jun 24, 2019 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Sep 11, 2025, registered Sep 19, 2025 (8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S••••• W••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 11, 2024, registered Oct 9, 2024 (28 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Jun 24, 2019, registered Jun 21, 2019 (-3 days) · channel change inside one enterprise, not a move

Signals

C•••••• P•••••• left S•••••••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-09-19)
Sep 11, 2025 · Advisor changed firm · fact
C•••••• P•••••• left S••••• W••••• A•••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-10-09)
Sep 11, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address