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• S•••

S•••••• S••••••••• I•••BD affiliatedAlpharetta, Gadual registrantIAPD 2355134

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• Stephen S•••

At current firm

3 y

since Apr 20, 2023

In the industry

33 y

since Jul 12, 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, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• S••••••••• I••• BD affiliated current
since Apr 20, 2023 · Alpharetta, Ga
W•••• W••••• M••••••••• I•• independent RIA
Sep 20, 2022 to Jan 3, 2023 · Marietta, Ga
M•••••••• F•••••••• P••••••• I••• independent RIA
Aug 12, 2020 to Apr 1, 2022 · Atlanta, Ga
F•••••••• independent RIA
Feb 10, 2014 to Jul 31, 2020 · Daytona Beach, Fl
H••••••• F•••••••• independent RIA
May 17, 2012 to Feb 7, 2013 · Kennesaw, Ga
Q•••• C•••••• S••••••••• I••• former
May 6, 2011 to Nov 10, 2011 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2006 to May 8, 2009 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

W•••• W••••• M••••••••• I•• to S•••••• S••••••••• I•••
left Jan 3, 2023, registered Apr 20, 2023 (107 days) · RIA to RIA
M•••••••• F•••••••• P••••••• I••• to W•••• W••••• M••••••••• I••
left Apr 1, 2022, registered Sep 20, 2022 (172 days) · Other
F•••••••• to M•••••••• F•••••••• P••••••• I•••
left Jul 31, 2020, registered Aug 12, 2020 (12 days) · Other
H••••••• F•••••••• to F••••••••
left Feb 7, 2013, registered Feb 10, 2014 (368 days) · Other
Q•••• C•••••• S••••••••• I••• to H••••••• F••••••••
left Nov 10, 2011, registered May 17, 2012 (189 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••• C•••••• S••••••••• I•••
left May 8, 2009, registered May 6, 2011 (728 days) · Other

Signals

M•••••• S• S••• left W•••• W••••• M••••••••• I•• for S•••••• S••••••••• I••• (registered 2023-04-20)
Jan 3, 2023 · Advisor changed firm · fact
M•••••• S• S••• left M•••••••• F•••••••• P••••••• I••• for W•••• W••••• M••••••••• I•• (registered 2022-09-20)
Apr 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address