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

R••••• C•••••• S••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNorfolk, Vadual registrantIAPD 2470433

Feed of 09/14/2026

Also filed as Rob S••••••

At current firm

10 y

since Jan 27, 2016

In the industry

32 y

since Apr 15, 1994 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jan 27, 2016 · Norfolk, Va
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 7, 2015 to Feb 22, 2016 · Norfolk, Va
S••••• A••• A•••• M••••••••• I••• former
Dec 9, 2011 to Jul 7, 2015 · Birmingham, Al
A••••••• • S••••••••• I••••••••• former
Nov 27, 2009 to Dec 9, 2011 · Norfolk, Va
W•••• F•••• A••••••• wirehouse
Oct 13, 2003 to Dec 1, 2009 · Norfolk, Va

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 22, 2016, registered Jan 27, 2016 (-26 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
W•••• F•••• A••••••• to A••••••• • S••••••••• I•••••••••
left Dec 1, 2009, registered Nov 27, 2009 (-4 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address