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••••••••

M••••• S••••••wirehouseAlpharetta, Gadual registrantIAPD 2618322

Feed of 09/14/2026

Also filed as S•••• Alan M••••••••

At current firm

1 y

since Jul 30, 2025

In the industry

31 y

since Aug 3, 1995 (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

M••••• S•••••• wirehouse current
since Jul 30, 2025 · Alpharetta, Ga
B••••••• W••••• A••••••• L•• independent RIA
Dec 8, 2021 to Jul 30, 2025 · Milton, Ga
A••••••• W••••• A••••••• BD affiliated
Feb 3, 2021 to Dec 31, 2021 · Alpharetta, Ga
A•• W••••• I••• former
Apr 5, 2017 to Feb 23, 2021 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 13, 2008 to Apr 3, 2017 · Alpharetta, Ga
W•••• F•••• A••••••• wirehouse
Dec 20, 2005 to Nov 10, 2008 · Milton, Ga

Moves

a registration end followed by a registration begin elsewhere

B••••••• W••••• A••••••• L•• to M••••• S••••••
left Jul 30, 2025, registered Jul 30, 2025 (0 days) · RIA to wirehouse
A••••••• W••••• A••••••• to B••••••• W••••• A••••••• L••
left Dec 31, 2021, registered Dec 8, 2021 (-23 days) · Affiliated broker-dealer or bank to independent RIA
A•• W••••• I••• to A••••••• W••••• A•••••••
left Feb 23, 2021, registered Feb 3, 2021 (-20 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•• W••••• I•••
left Apr 3, 2017, registered Apr 5, 2017 (2 days) · Other · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 10, 2008, registered Nov 13, 2008 (3 days) · Wirehouse to wirehouse

Signals

S•••• M•••••••• left B••••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2025-07-30)
Jul 30, 2025 · 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address