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.
Feed of 09/14/2026
At current firm
0 y
since Oct 21, 2025
In the industry
40 y
since May 20, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Oct 21, 2025 · Orlando, Fl
- Independent Financial Partners BD affiliatedJul 2, 2018 to Nov 17, 2025 · Winter Park, Fl
- Lanark Financial, Inc. BD affiliatedJul 16, 2012 to Jul 9, 2018 · Maitland, Fl
- RBC Capital Markets, LLC national BDFeb 25, 2009 to Jul 25, 2012 · Orlando, Fl
- Citigroup Global Markets Inc. BD affiliatedApr 17, 1991 to Feb 19, 2009 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Partners to Morgan Stanleyleft Nov 17, 2025, registered Oct 21, 2025 (-27 days) · Affiliated broker-dealer or bank to wirehouse
- Lanark Financial, Inc. to Independent Financial Partnersleft Jul 9, 2018, registered Jul 2, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- RBC Capital Markets, LLC to Lanark Financial, Inc.left Jul 25, 2012, registered Jul 16, 2012 (-9 days) · Other
- Citigroup Global Markets Inc. to RBC Capital Markets, LLCleft Feb 19, 2009, registered Feb 25, 2009 (6 days) · Other
Signals
- Patrick Joseph Buffa left Independent Financial Partners for Morgan Stanley (registered 2025-10-21)Nov 17, 2025 · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address