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

D••••• J••••• F••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedCharleston, Scdual registrantIAPD 2413984

Feed of 09/14/2026

Also filed as D••••• J F••••

At current firm

0 y

since Mar 21, 2026

In the industry

31 y

since Nov 3, 1994 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Mar 21, 2026 · Charleston, Sc
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Mar 25, 2026 · Mt. Pleasant, Sc
P•••• S••••••••• L•• no RAUM
Oct 10, 2023 to Nov 14, 2024 · Mt. Pleasant, Sc
C••••• S••••• A•••••••• I••• former
Dec 5, 2019 to Nov 14, 2023 · Charleston, Sc
V••• E••••• M••••••••• L•• independent RIA
Jun 25, 2015 to May 1, 2017 · Charleston, Tx

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 25, 2026, registered Mar 21, 2026 (-4 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
C••••• S••••• A•••••••• I••• to P•••• S••••••••• L••
left Nov 14, 2023, registered Oct 10, 2023 (-35 days) · RIA to affiliated broker-dealer or bank
V••• E••••• M••••••••• L•• to C••••• S••••• A•••••••• I•••
left May 1, 2017, registered Dec 5, 2019 (948 days) · Other

Signals

D••••• J••••• F•••• left L•• E••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-03-21)
Mar 25, 2026 · Advisor changed firm · fact
D••••• J••••• F•••• left C••••• S••••• A•••••••• I••• for P•••• S••••••••• L•• (registered 2023-10-10)
Nov 14, 2023 · 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address