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

R•••• N•••• S•••••••

G••••• R••••••••• P••••••• L••institutionalAiken, Sc dual registrantIAPD 1782891

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jul 17, 2024

In the industry

38 y

since Jan 11, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G••••• R••••••••• P••••••• L•• institutional current
since Jul 17, 2024 · Aiken, Sc
O•••• F•• I••• former
Sep 20, 2011 to Jul 19, 2024 · Aiken, Sc
A• W••••• M••••••••• independent RIA
Apr 20, 2011 to Sep 1, 2011 · Aiken, Sc
•••• M•••••• • S••••••• W••••• M••••••••• L•• unclassified
Apr 23, 2008 to Aug 16, 2011 · Aiken, Sc
E•••••• D•••• I••••••••• A••••••• S•••••••• L•• unclassified
Jan 10, 2003 to Nov 18, 2005 · Aiken , Sc

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to G••••• R••••••••• P••••••• L••
left Jul 19, 2024, registered Jul 17, 2024 (-2 days) · Other · moved with a team
A• W••••• M••••••••• to O•••• F•• I•••
left Sep 1, 2011, registered Sep 20, 2011 (19 days) · Other
•••• M•••••• • S••••••• W••••• M••••••••• L•• to A• W••••• M•••••••••
left Aug 16, 2011, registered Apr 20, 2011 (-118 days) · Other
E•••••• D•••• I••••••••• A••••••• S•••••••• L•• to •••• M•••••• • S••••••• W••••• M••••••••• L••
left Nov 18, 2005, registered Apr 23, 2008 (887 days) · Other

Signals

R•••• N•••• S••••••• left O•••• F•• I••• for G••••• R••••••••• P••••••• L•• (registered 2024-07-17)
Jul 19, 2024 · 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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address