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

D••••••• A• C••••••

A• W••••• M••••••••• L••BD affiliatedNaples, FlIA-onlyIAPD 7128863

Feed of 09/14/2026

Also filed as D••••••• Alphonse C••••••

At current firm

0 y

since Apr 16, 2026

In the industry

11 y

since May 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

A• W••••• M••••••••• L•• BD affiliated current
since Apr 16, 2026 · Naples, Fl
E••••• J•••• national BD
May 12, 2025 to Mar 31, 2026 · Fort Myers, Fl
O•••• I••••••••• I••• BD affiliated
Jun 5, 2024 to Apr 30, 2025 · Fort Myers, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 6, 2023 to Apr 23, 2024 · Fort Myers, Fl
E•••••••• A•••••••• L•• national BD
Jun 2, 2021 to Dec 9, 2022 · Fort Myers, Fl

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to A• W••••• M••••••••• L••
left Mar 31, 2026, registered Apr 16, 2026 (16 days) · Affiliated broker-dealer or bank to another
O•••• I••••••••• I••• to E••••• J••••
left Apr 30, 2025, registered May 12, 2025 (12 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• I••••••••• I•••
left Apr 23, 2024, registered Jun 5, 2024 (43 days) · Wirehouse to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 9, 2022, registered Feb 6, 2023 (59 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D••••••• A• C•••••• left E••••• J•••• for A• W••••• M••••••••• L•• (registered 2026-04-16)
Mar 31, 2026 · Advisor changed firm · fact
D••••••• A• C•••••• left O•••• I••••••••• I••• for E••••• J•••• (registered 2025-05-12)
Apr 30, 2025 · Advisor changed firm · fact
D••••••• A• C•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O•••• I••••••••• I••• (registered 2024-06-05)
Apr 23, 2024 · Advisor changed firm · fact
D••••••• A• C•••••• left E•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-02-06)
Dec 9, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address