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.

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Registered advisor

P•••• B•••• W•••

O•••••••••institutionalMiami Beach, Fl IA-onlyIAPD 834738

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

2 y

since Jan 16, 2024

In the industry

41 y

since Jul 11, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O••••••••• institutional current
since Jan 16, 2024 · Miami Beach, Fl
W••••••••• former
Jan 25, 2022 to Oct 26, 2024 · East Otis, Ma
K•••••••• W••••• A•••••••• L•• BD affiliated
Oct 14, 2020 to Jul 28, 2022 · San Diego, Ca
S••••••••• A•••••• A•••••••• I••• former
Sep 18, 2020 to Oct 22, 2020 · La Vista, Ne
S•• A•••••••• I••• former
Sep 2, 2014 to Sep 18, 2020 · Miami Beach, Fl
L•• F•••••••• L•• BD affiliated
Dec 4, 2002 to Aug 27, 2014 · East Otis, Ma

Moves

a registration end followed by a registration begin elsewhere

W••••••••• to O•••••••••
left Oct 26, 2024, registered Jan 16, 2024 (-284 days) · Other
K•••••••• W••••• A•••••••• L•• to W•••••••••
left Jul 28, 2022, registered Jan 25, 2022 (-184 days) · RIA to RIA
S••••••••• A•••••• A•••••••• I••• to K•••••••• W••••• A•••••••• L••
left Oct 22, 2020, registered Oct 14, 2020 (-8 days) · Affiliated broker-dealer or bank to independent RIA
S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to S•• A•••••••• I•••
left Aug 27, 2014, registered Sep 2, 2014 (6 days) · Other

Signals

P•••• B•••• W••• left Wealthsource? for Onedigital (registered 2024-01-16)
Oct 26, 2024 · Advisor changed firm · fact
P•••• B•••• W••• left K•••••••• W••••• A•••••••• L•• for Wealthsource? (registered 2022-01-25)
Jul 28, 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: Institutional managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address