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

M•••••• S•••••• A•••••••

R•• C•••••• M••••••• L••national BDRoswell, Ga dual registrantIAPD 2128170

Feed of 09/15/2026

Also filed as M•••••• Carter

At current firm

9 y

since Apr 28, 2017

In the industry

24 y

since Jun 10, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•• C•••••• M••••••• L•• national BD current
since Apr 28, 2017 · Atlanta, Ga
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 4, 2015 to Apr 27, 2017 · St. Louis, Mo
B••••••• C•••••• I••• former
Jul 10, 2013 to Dec 4, 2015 · Atlanta, Ga
U••• F•••••••• P••••••• S••••••• former
Jul 1, 2011 to May 29, 2013 · Atlanta, Ga
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to May 10, 2011 · Roswell, Ga
C••••••• I••••••••• S••••••• unclassified
May 21, 2007 to May 29, 2007 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to R•• C•••••• M••••••• L••
left Apr 27, 2017, registered Apr 28, 2017 (1 days) · Affiliated broker-dealer or bank to another
B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
U••• F•••••••• P••••••• S••••••• to B••••••• C•••••• I•••
left May 29, 2013, registered Jul 10, 2013 (42 days) · Other
C•••••••• G••••• M•••••• I••• to U••• F•••••••• P••••••• S•••••••
left May 10, 2011, registered Jul 1, 2011 (52 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move

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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address