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

S••• R•••••

S•••••••• A••••••• L••national BDJacksonville, Fldual registrantIAPD 7173778

Feed of 09/14/2026

Also filed as S••• R•••••

At current firm

0 y

since May 28, 2026

In the industry

18 y

since Jun 1, 2008 (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

S•••••••• A••••••• L•• national BD current
since May 28, 2026 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 28, 2025 to May 18, 2026 · Jacksonville, Fl
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Aug 14, 2025 · Jacksonville, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 25, 2023 to Mar 31, 2025 · Jacksonville, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 12, 2022 to Jan 31, 2022 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 30, 2020 to Dec 7, 2021 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left May 18, 2026, registered May 28, 2026 (10 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 14, 2025, registered Aug 28, 2025 (14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 31, 2022, registered Sep 25, 2023 (602 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Dec 7, 2021, registered Jan 12, 2022 (36 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

S••• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••••• A••••••• L•• (registered 2026-05-28)
May 18, 2026 · Advisor changed firm · fact
S••• R••••• left S•••••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-08-28)
Aug 14, 2025 · Advisor changed firm · fact
S••• R••••• left C•••••••• G••••• M•••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-25)
Jan 31, 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address