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

M•••••• S•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSaint Petersburg, Fl dual registrantIAPD 6564464

Feed of 09/15/2026

Also filed as M•••••• S•••••

At current firm

0 y

since Apr 24, 2026

In the industry

10 y

since Feb 1, 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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Apr 24, 2026 · Saint Petersburg, Fl
C••••••• S••••••••• I••• BD affiliated
Jun 22, 2023 to Mar 2, 2026 · Johnston, Ri
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 22, 2021 to Mar 8, 2023 · Cranston, Ri
C••••••• S••••••••• I••• BD affiliated
Dec 2, 2019 to Sep 29, 2020 · Philadelphia, Pa
C••••••• S••••••••• I••• BD affiliated
Apr 11, 2017 to Sep 10, 2019 · Plymouth, Ma
E•••••••• A•••••••• L•• national BD
May 31, 2016 to Apr 10, 2017 · North Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Mar 2, 2026, registered Apr 24, 2026 (53 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to C••••••• S••••••••• I•••
left Mar 8, 2023, registered Jun 22, 2023 (106 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Sep 29, 2020, registered Dec 22, 2021 (449 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to C••••••• S••••••••• I•••
left Apr 10, 2017, registered Apr 11, 2017 (1 days) · Other

Signals

M•••••• S••••• left C••••••• S••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-04-24)
Mar 2, 2026 · Advisor changed firm · fact
M•••••• S••••• left A••••••••• F•••••••• S•••••••• L•• for C••••••• S••••••••• I••• (registered 2023-06-22)
Mar 8, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address