DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as R••••• S••••••
At current firm
4 y
since Sep 13, 2022
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Sep 13, 2022 · Tampa, Fl
- A• W••••• M••••••••• L•• BD affiliatedMar 26, 2020 to Jul 14, 2022 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- A• W••••• M••••••••• L•• to F••••• I•••••••••left Jul 14, 2022, registered Sep 13, 2022 (61 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedJul 14, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address