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

N••••••• P••• C••••••••

F••••independent RIAWest Palm Beach, Fl IA-onlyIAPD 6774068

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since May 28, 2025

In the industry

10 y

since Oct 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

F•••• independent RIA current
since May 28, 2025 · West Palm Beach, Fl
T•• W••••• P••••••• independent RIA
Sep 12, 2023 to May 12, 2025 · Maumee, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Dec 7, 2021 to Sep 20, 2023 · Brooklyn, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Aug 14, 2018 to Dec 23, 2019 · Dayton, Oh
P•••• S••••••••• L•• no RAUM
Jun 12, 2017 to Aug 3, 2018 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

T•• W••••• P••••••• to F••••
left May 12, 2025, registered May 28, 2025 (16 days) · RIA to RIA
K•• I••••••••• S••••••• L•• to T•• W••••• P•••••••
left Sep 20, 2023, registered Sep 12, 2023 (-8 days) · Affiliated broker-dealer or bank to independent RIA
P•••• S••••••••• L•• to K•• I••••••••• S••••••• L••
left Aug 3, 2018, registered Aug 14, 2018 (11 days) · Affiliated broker-dealer or bank to another

Signals

N••••••• P••• C•••••••• left T•• W••••• P••••••• for Facet (registered 2025-05-28)
May 12, 2025 · Advisor changed firm · fact
N••••••• P••• C•••••••• left K•• I••••••••• S••••••• L•• for T•• W••••• P••••••• (registered 2023-09-12)
Sep 20, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address