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

R•••••• A•••••• Y•••••

S•••••• I••••••••• M••••••••• L••independent RIAAltamonte Springs, Fldual registrantIAPD 7212539

Feed of 09/14/2026

Also filed as R•••••• A•••••• Y••••• De La Guardia

At current firm

1 y

since May 8, 2025

In the industry

11 y

since Jul 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

S•••••• I••••••••• M••••••••• L•• independent RIA current
since May 8, 2025 · Altamonte Springs, Fl
F••••••••• F•••••••• G•••• independent RIA
Jun 24, 2024 to Apr 23, 2025 · Maitland, Fl
A• W••••• M••••••••• L•• BD affiliated
May 15, 2023 to Jun 14, 2024 · Winter Garden, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 3, 2022 to Apr 27, 2023 · Winter Park, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••••••• F•••••••• G•••• to S•••••• I••••••••• M••••••••• L••
left Apr 23, 2025, registered May 8, 2025 (15 days) · RIA to RIA
A• W••••• M••••••••• L•• to F••••••••• F•••••••• G••••
left Jun 14, 2024, registered Jun 24, 2024 (10 days) · RIA to RIA
A••••••••• F•••••••• S•••••••• L•• to A• W••••• M••••••••• L••
left Apr 27, 2023, registered May 15, 2023 (18 days) · Affiliated broker-dealer or bank to another

Signals

R•••••• A•••••• Y••••• left F••••••••• F•••••••• G•••• for S•••••• I••••••••• M••••••••• L•• (registered 2025-05-08)
Apr 23, 2025 · Advisor changed firm · fact
R•••••• A•••••• Y••••• left A• W••••• M••••••••• L•• for F••••••••• F•••••••• G•••• (registered 2024-06-24)
Jun 14, 2024 · Advisor changed firm · fact
R•••••• A•••••• Y••••• left A••••••••• F•••••••• S•••••••• L•• for A• W••••• M••••••••• L•• (registered 2023-05-15)
Apr 27, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address