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•••••• T••••••• S•••••••

W•••• F•••• A•••••••wirehouseCharleston, Sc dual registrantIAPD 2488377

Feed of 09/14/2026

Also filed as M•••••• T••••••• S•••••••

At current firm

3 y

since Mar 28, 2023

In the industry

32 y

since Jul 12, 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, S66

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 Mar 28, 2023 · Charleston, Sc
N••• C••••••••• BD affiliated
Nov 2, 2021 to Feb 8, 2023 · Boca Raton, Fl
L•• F•••••••• L•• BD affiliated
Feb 1, 2021 to Nov 11, 2021 · Hilton Head, Sc
R•••• A••••••• S•••••••• I••• independent RIA
Jun 21, 2017 to Mar 2, 2021 · Sea Girt, Nj

Moves

a registration end followed by a registration begin elsewhere

N••• C••••••••• to W•••• F•••• A•••••••
left Feb 8, 2023, registered Mar 28, 2023 (48 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to N••• C•••••••••
left Nov 11, 2021, registered Nov 2, 2021 (-9 days) · Affiliated broker-dealer or bank to another
R•••• A••••••• S•••••••• I••• to L•• F•••••••• L••
left Mar 2, 2021, registered Feb 1, 2021 (-29 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

M•••••• T••••••• S••••••• left N••• C••••••••• for W•••• F•••• A••••••• (registered 2023-03-28)
Feb 8, 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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address