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•••• C• O••••

F•••• T•••• W••••• A••••••• L••mixed wealthAtlanta, GaIA-onlyIAPD 2717723

Feed of 09/14/2026

Also filed as D•••• O••••

At current firm

1 y

since Nov 5, 2024

In the industry

28 y

since Apr 6, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• T•••• W••••• A••••••• L•• mixed wealth current
since Nov 5, 2024 · Atlanta, Ga
F•••• T•••• S••••••••• I••• BD affiliated
Feb 1, 2019 to Dec 23, 2020 · Atlanta, Ga
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 14, 2015 to Jan 9, 2019 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 24, 2014 · Alpharetta, Ga
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 7, 2007 to Oct 23, 2009 · Atlanta, Ga
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Aug 31, 2007 · Atlanta, Ga
M••••• S•••••• D• I••• unclassified
Jan 19, 2007 to Apr 2, 2007 · Atlanta, Ga
S••••••• I••••••••• S•••••••• I••• former
Apr 6, 2005 to Dec 18, 2006 · Alpharetta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 14, 2004 to Mar 18, 2005 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to F•••• T•••• W••••• A••••••• L••
left Dec 23, 2020, registered Nov 5, 2024 (1413 days) · Other
C••••• I••••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••
left Jan 9, 2019, registered Feb 1, 2019 (23 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••
left Nov 24, 2014, registered Sep 14, 2015 (294 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• • C•• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 31, 2007, registered Nov 7, 2007 (68 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
S••••••• I••••••••• S•••••••• I••• to M••••• S•••••• D• I•••
left Dec 18, 2006, registered Jan 19, 2007 (32 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• S•••••••• I•••
left Mar 18, 2005, registered Apr 6, 2005 (19 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: Wealth manager with institutional or fund businessderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address