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

S••••• M••••• P•••••••••

••••••••independent RIANashville, Tn dual registrantIAPD 2350505

Feed of 09/15/2026

At current firm

2 y

since Sep 28, 2023

In the industry

33 y

since Sep 10, 1993 (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

•••••••• independent RIA current
since Sep 28, 2023 · Nashville, Tn
D••• D••••••• • C•• independent RIA
Sep 9, 2021 to Aug 18, 2022 · Richmond, Va
R••••••••• I••••••••• G••••• L•• mixed wealth
Oct 21, 2010 to Oct 30, 2019 · Richmond, Va
C•••••• S••••••••• M••••••••• I••• independent RIA
May 6, 2010 to Sep 10, 2010 · Glen Allen, Va
W••••••••• C•••••• M••••••••• L•• independent RIA
Nov 19, 2008 to Jul 27, 2009 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Nov 1, 2004 to May 2, 2008 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Jul 13, 2000 to May 27, 2004 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

D••• D••••••• • C•• to ••••••••
left Aug 18, 2022, registered Sep 28, 2023 (406 days) · RIA to RIA
R••••••••• I••••••••• G••••• L•• to D••• D••••••• • C••
left Oct 30, 2019, registered Sep 9, 2021 (680 days) · RIA to RIA
C•••••• S••••••••• M••••••••• I••• to R••••••••• I••••••••• G••••• L••
left Sep 10, 2010, registered Oct 21, 2010 (41 days) · Other
W••••••••• C•••••• M••••••••• L•• to C•••••• S••••••••• M••••••••• I•••
left Jul 27, 2009, registered May 6, 2010 (283 days) · Other
W•••• F•••• A••••••• to W••••••••• C•••••• M••••••••• L••
left May 2, 2008, registered Nov 19, 2008 (201 days) · Other
W•••• F•••• A••••••• to W•••• F•••• A•••••••
left May 27, 2004, registered Nov 1, 2004 (158 days) · channel change inside one enterprise, not a move

Signals

S••••• M••••• P••••••••• left D••• D••••••• • C•• for &Partners (registered 2023-09-28)
Aug 18, 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: Independent wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address