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•••• S•••••

M•••••• • N••••• A•••••••• L••mixed wealthNaples, Fl dual registrantIAPD 7465447

Feed of 09/14/2026

At current firm

1 y

since Jul 2, 2025

In the industry

17 y

since Aug 1, 2009 (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

M•••••• • N••••• A•••••••• L•• mixed wealth current
since Jul 2, 2025 · Fairport, Ny
C•••••• A••••••• BD affiliated
Aug 11, 2023 to Jun 20, 2025 · Naples, Fl
L•••••• I••••••••• independent RIA
Aug 4, 2023 to Jun 20, 2025 · Palm Beach Gardens, Fl
A••••••••• L••• other
Jan 8, 2022 to Mar 1, 2023 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to M•••••• • N••••• A•••••••• L••
left Jun 20, 2025, registered Jul 2, 2025 (12 days) · Affiliated broker-dealer or bank to independent RIA
L•••••• I••••••••• to C•••••• A•••••••
left Jun 20, 2025, registered Aug 11, 2023 (-679 days) · RIA to affiliated broker-dealer or bank · moved with a team
A••••••••• L••• to L•••••• I•••••••••
left Mar 1, 2023, registered Aug 4, 2023 (156 days) · Other

Signals

D•••• S••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2023-08-11)
Jun 20, 2025 · Advisor changed firm · fact
D•••• S••••• left C•••••• A••••••• for M•••••• • N••••• A•••••••• L•• (registered 2025-07-02)
Jun 20, 2025 · Advisor changed firm · fact
D•••• S••••• left A••••••••• L••• for L•••••• I••••••••• (registered 2023-08-04)
Mar 1, 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: Wealth manager with institutional or fund businessderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address