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

J•••• M••••• D••••••

D•••••• P•••••• W••••• M••••••••• L••state registeredNaples, FlIA-onlyIAPD 6769429

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Nov 5, 2023

In the industry

19 y

since Sep 1, 2007 (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

D•••••• P•••••• W••••• M••••••••• L•• state registered current
since Nov 5, 2023 · Naples, Fl
R•••••• W••••• M••••••••• I••• independent RIA
May 12, 2022 to Oct 17, 2023 · Bonita Springs, Fl
F•• S••••••••• C••••••••• former
Feb 21, 2018 to May 10, 2022 · Naples, Fl
E•••••••• A•••••••• L•• national BD
Feb 9, 2018 to Mar 6, 2018 · Naples, Fl

Moves

a registration end followed by a registration begin elsewhere

R•••••• W••••• M••••••••• I••• to D•••••• P•••••• W••••• M••••••••• L••
left Oct 17, 2023, registered Nov 5, 2023 (19 days) · RIA to a state-registered adviser
F•• S••••••••• C••••••••• to R•••••• W••••• M••••••••• I•••
left May 10, 2022, registered May 12, 2022 (2 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• A•••••••• L•• to F•• S••••••••• C•••••••••
left Mar 6, 2018, registered Feb 21, 2018 (-13 days) · Affiliated broker-dealer or bank to another

Signals

J•••• M••••• D•••••• left R•••••• W••••• M••••••••• I••• for D•••••• P•••••• W••••• M••••••••• L•• (registered 2023-11-05)
Oct 17, 2023 · Advisor changed firm · fact
J•••• M••••• D•••••• left F•• S••••••••• C••••••••• for R•••••• W••••• M••••••••• I••• (registered 2022-05-12)
May 10, 2022 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address