DFX Intelligence
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Registered advisor
R••••• M••••• F•••••••
Feed of 09/14/2026
At current firm
22 y
since Sep 17, 2004
In the industry
42 y
since Mar 27, 1984 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 17, 2004 · Coral Springs, Fl
- P•••• S••••••••• L•• no RAUMMar 11, 1999 to Dec 18, 2003 · West Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to O•••• W•••••• I•••left Dec 18, 2003, registered Sep 17, 2004 (274 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address