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•••••• J••••• D•••••

I••••••••• A•••••• A•••••••• L••i••••••••• wealthCharleston, ScIA-onlyIAPD 2090391

Feed of 09/14/2026

Also filed as Rick D•••••

At current firm

3 y

since May 25, 2023

In the industry

35 y

since Feb 26, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• A•••••• A•••••••• L•• i••••••••• wealth current
since May 25, 2023 · Charleston, Sc
C•••••• A••••••• S•••••••• L•• i••••••••• wealth
Jan 23, 2019 to Aug 15, 2023 · Charleston, Sc
V••• E••••• M••••••••• L•• i••••••••• wealth
Apr 30, 2015 to Dec 9, 2019 · Charleston, Sc
H••••• I••••••••• M••••••••• L•• i••••••••• wealth
Jan 3, 2012 to Apr 23, 2015 · Charleston, Sc

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• S•••••••• L•• to I••••••••• A•••••• A•••••••• L••
left Aug 15, 2023, registered May 25, 2023 (-82 days) · RIA to RIA · moved with a team
V••• E••••• M••••••••• L•• to C•••••• A••••••• S•••••••• L••
left Dec 9, 2019, registered Jan 23, 2019 (-320 days) · RIA to RIA
H••••• I••••••••• M••••••••• L•• to V••• E••••• M••••••••• L••
left Apr 23, 2015, registered Apr 30, 2015 (7 days) · Other · moved with a team

Signals

R•••••• J••••• D••••• left C•••••• A••••••• S•••••••• L•• for I••••••••• A•••••• A•••••••• L•• (registered 2023-05-25)
Aug 15, 2023 · a•••••• firm change · 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: I••••••••• WEALTHderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address