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••••••••

W•••• F•••• A•••••••wirehouseRichmond, Vadual registrantIAPD 2379038

Feed of 09/14/2026

Also filed as S•••• M M••••••••

At current firm

3 y

since Apr 17, 2023

In the industry

32 y

since Oct 5, 1993 (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

W•••• F•••• A••••••• wirehouse current
since Apr 17, 2023 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Aug 15, 2008 to Apr 17, 2023 · Richmond, Va
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 21, 2006 to Sep 4, 2008 · Richmond, Va
L••• M•••• W••• W•••••• I••••••••• unclassified
Jul 12, 2002 to Feb 21, 2006 · Richmond, Va
S•••• • S••••••••• L•• former
Jan 3, 1997 to Jul 22, 2002 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to W•••• F•••• A•••••••
left Apr 17, 2023, registered Apr 17, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Sep 4, 2008, registered Aug 15, 2008 (-20 days) · Other
L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
S•••• • S••••••••• L•• to L••• M•••• W••• W•••••• I•••••••••
left Jul 22, 2002, registered Jul 12, 2002 (-10 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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address