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

R••••• L•••• W•••••

T••••• A••••••• S•••••••• I•••BD affiliatedWindermere, Fldual registrantIAPD 6556585

Feed of 09/14/2026

Also filed as R••••• L•••• Fales

At current firm

4 y

since Feb 15, 2022

In the industry

10 y

since Jan 7, 2016 (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

T••••• A••••••• S•••••••• I••• BD affiliated current
since Feb 15, 2022 · Windermere, Fl
I••••••••• E•• F•••••••• unclassified
Jul 24, 2020 to Dec 18, 2020 · Windermere, Fl
L•••••• I••••••••• independent RIA
Sep 19, 2019 to May 4, 2020 · Orlando, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Apr 24, 2017 to Sep 25, 2019 · Orlando, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 4, 2016 to Feb 23, 2017 · Leesburg, Fl
E••••• J•••• national BD
Jan 11, 2016 to Jul 18, 2016 · Maitland, Fl

Moves

a registration end followed by a registration begin elsewhere

I••••••••• E•• F•••••••• to T••••• A••••••• S•••••••• I•••
left Dec 18, 2020, registered Feb 15, 2022 (424 days) · Other
L•••••• I••••••••• to I••••••••• E•• F••••••••
left May 4, 2020, registered Jul 24, 2020 (81 days) · Other
T••••• A••••••• S•••••••• I••• to L•••••• I•••••••••
left Sep 25, 2019, registered Sep 19, 2019 (-6 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 23, 2017, registered Apr 24, 2017 (60 days) · Other
E••••• J•••• to C••••• I••••••••• A••••••• L••
left Jul 18, 2016, registered Nov 4, 2016 (109 days) · Other

Signals

No dated event on this person.

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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address