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•••• F••••••

J••• M••••• S••••••••• L••wirehouseTampa, Fl dual registrantIAPD 7207806

Feed of 09/15/2026

Also filed as David Hortonfindley

At current firm

2 y

since Aug 5, 2024

In the industry

10 y

since Aug 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

J••• M••••• S••••••••• L•• wirehouse current
since Aug 5, 2024 · Tampa, Fl
F••••• I••••••••• independent RIA
May 13, 2024 to Jul 16, 2024 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 20, 2023 to May 13, 2024 · Orlando, Fl
E•••••••• A•••••••• L•• national BD
Jul 15, 2022 to Mar 30, 2023 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to J••• M••••• S••••••••• L••
left Jul 16, 2024, registered Aug 5, 2024 (20 days) · RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left May 13, 2024, registered May 13, 2024 (0 days) · Wirehouse to independent RIA
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 30, 2023, registered Apr 20, 2023 (21 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D•••• F•••••• left F••••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2024-08-05)
Jul 16, 2024 · Advisor changed firm · fact
D•••• F•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••• I••••••••• (registered 2024-05-13)
May 13, 2024 · Advisor changed firm · fact
D•••• F•••••• left E•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-04-20)
Mar 30, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address