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

M•••••• S••• C•••••••

L•• F•••••••• L••BD affiliatedColumbia, Scdual registrantIAPD 2206537

Feed of 09/14/2026

Also filed as M•••••• S••• C•••••••

At current firm

4 y

since May 18, 2022

In the industry

34 y

since Jul 6, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 18, 2022 · Columbia, Sc
C••• B•••••••• S•••••••• I••• former
Nov 8, 2016 to May 18, 2022 · Columbia, Sc
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 7, 2015 to Nov 3, 2016 · Columbia, Sc
S••••• A••• A•••• M••••••••• I••• former
Dec 9, 2011 to Jul 7, 2015 · Birmingham, Al
A••••••• • S••••••••• I••••••••• former
Sep 14, 2011 to Dec 9, 2011 · Columbia, Sc
L•• F•••••••• L•• BD affiliated
Oct 9, 2007 to Sep 15, 2011 · Columbia, Sc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Aug 23, 2005 to Oct 9, 2007 · Columbia, Sc
B••• I••••••••• S•••••••• I••• former
Feb 17, 2004 to Aug 16, 2005 · Charlotte, Nc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 19, 2003 to Feb 4, 2004 · Columbia, Sc

Moves

a registration end followed by a registration begin elsewhere

C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
S•••••• N••••••• • C••••••• I••••••••• to C••• B•••••••• S•••••••• I•••
left Nov 3, 2016, registered Nov 8, 2016 (5 days) · Other
S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••
left Dec 9, 2011, registered Dec 9, 2011 (0 days) · Other
L•• F•••••••• L•• to A••••••• • S••••••••• I•••••••••
left Sep 15, 2011, registered Sep 14, 2011 (-1 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Oct 9, 2007, registered Oct 9, 2007 (0 days) · Other
B••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Aug 16, 2005, registered Aug 23, 2005 (7 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••
left Feb 4, 2004, registered Feb 17, 2004 (13 days) · Other

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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address